Albert E. Betar
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Albert Esau Betar, who also goes by Albert E Betar, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1968. Albert had worked at 4 firms and has passed the Series 00 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 1984 - July 8, 2010
HEFREN-TILLOTSON, INC.
February 6, 1984 - November 5, 1984
BETAR, WADDELL AND COMPANY, INC.
May 20, 1980 - May 24, 1983
R.C. TOWNE, INC.
August 14, 1968 - March 3, 1980
SIMPSON, EMERY & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 00
Date: 7/30/1968
General Securities Principal ExaminationCurrent Firm
HEFREN-TILLOTSON, INC.
CRD#: 53 / SEC#: 801-55083, 8-10646
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASTERPLAN, INC. | OWNER OF HEFREN TILLOTSON | |
| BELT, DONALD MCGHEE | PRESIDENT | 2252406 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| FLEMING, KIMBERLY TILLOTSON | DIRECTOR | 871264 |
| MEREDITH, JAMES GERARD | EXECUTIVE VICE PRESIDENT | 853602 |
| NIESSLEIN, JOSEPH M | CFO / TREASURER | 3057789 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| TADDEO, PAUL EDWARD | CHIEF COMPLIANCE OFFICER | 1259114 |
| TILLOTSON, CRAIG ARTHUR | VICE CHAIRMAN | 1296742 |
Regulatory assets under management
| Total Number of Accounts | 30,861 |
| AUM (Assets Under Management) | $ 12,430,043,340 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
