David C. Betz

AMERICAN CAPITAL MANAGEMENT

New Albany, IN 47150

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CRD#: 1795419

Professional summary

David Charles Betz is a registered financial advisor currently at AMERICAN CAPITAL MANAGEMENT, INC. located in New Albany, Indiana.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. David has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Silver Valley Financial Group, LLC, Owner. Non-investment related, 1-10% time spent on activity during securities hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Betz's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 17, 2024 - Present

AMERICAN CAPITAL MANAGEMENT, INC.

Office #1: 4222 Grantline Road, New Albany, IN 47150

RIA

CRD#: 122452

New Albany, IN

Past

March 28, 2024 - April 8, 2024

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

New Albany, IN

Past

March 27, 2024 - April 8, 2024

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

New Albany, IN

Past

August 13, 2020 - March 22, 2024

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

New Albany, IN

Past

August 13, 2020 - March 22, 2024

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

New Albany, IN

Past

November 19, 2019 - August 21, 2020

W&S BROKERAGE SERVICES, INC.

RIA

CRD#: 8099

Louisville, KY

Past

January 2, 2019 - August 21, 2020

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Louisville, KY

Past

April 20, 2016 - November 1, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

NEW ALBANY, IN

Past

June 10, 2011 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

NEW ALBANY, IN

Past

June 9, 2011 - November 1, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

NEW ALBANY, IN

Past

March 16, 2009 - April 7, 2010

WADDELL & REED

CRD#: 866

LOUISVILLE, KY

Past

March 12, 2009 - April 7, 2010

WADDELL & REED

RIA

CRD#: 866

LOUISVILLE, KY

Past

July 18, 2008 - March 4, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LOUISVILLE, KY

Past

June 6, 2008 - March 4, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

LOUISVILLE, KY

Past

August 14, 2007 - March 7, 2008

LPL FINANCIAL LLC

CRD#: 6413

LOUISVILLE, KY

Past

July 26, 2005 - August 23, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

LOUISVILLE, KY

Past

June 1, 2005 - July 8, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

March 22, 2002 - June 1, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

September 8, 1998 - January 18, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 23, 1992 - July 28, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

November 23, 1992 - July 28, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 19, 1992 - November 19, 1992

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

February 24, 1989 - March 11, 1992

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

February 24, 1989 - July 28, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(6/17/2024)

IAR

Kentucky
(6/17/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/16/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AMERICAN CAPITAL MANAGEMENT, INC.

AMERICAN CAPITAL MANAGEMENT, INC. | JT DAVIS ASSET MANAGEMENT, LLC

CRD#: 122452 / SEC#:

Florida

Registered Investment Advisory firm - (3/30/2018 Approved)

Indiana

Registered Investment Advisory firm - (7/30/1991 Approved)

Kentucky

Registered Investment Advisory firm - (1/24/2008 Approved)

Ohio

Registered Investment Advisory firm - (6/28/2013 Approved)

Texas

Registered Investment Advisory firm - (12/5/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4222 Grantline Road, New Albany, IN 47150

Mailing Address

Phone number

(812) 945-9888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	435
AUM (Assets Under Management)	$ 78,724,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David C. Betz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Betz's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WADDELL & REED

WADDELL & REED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

MONY SECURITIES CORPORATION

NEW ENGLAND SECURITIES

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

1717 CAPITAL MANAGEMENT COMPANY

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/2008

Series 63

Date: 5/16/1988

SIE

Date: 11/1/2017

Series 7

Date: 6/5/2008

Series 6

Date: 2/22/1989

Current Firm

AMERICAN CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AMERICAN CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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