James R. Betts
Professional summary
James Ralph Betts JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, James had worked at 6 firms, which includes BLACKWELL DONALDSON & COMPANY, WARNER BECK INCORPORATED, PATTERSON FINANCIAL SERVICES INC., PORTFOLIO STRATEGIES INC., DAVE FRIES AND ASSOCIATES, AMERICAN INVESTORS COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 1991 - October 14, 1999
BLACKWELL DONALDSON & COMPANY
January 21, 1988 - June 6, 1988
WARNER BECK INCORPORATED
March 31, 1986 - May 8, 1987
PATTERSON FINANCIAL SERVICES, INC.
February 9, 1978 - May 12, 1979
PORTFOLIO STRATEGIES, INC.
February 12, 1976 - October 3, 1977
DAVE FRIES AND ASSOCIATES
March 17, 1969 - January 22, 1976
AMERICAN INVESTORS COMPANY
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 1
Date: 3/18/1968
Registered Representative ExaminationCurrent Firm
BLACKWELL DONALDSON & COMPANY
CRD#: 7981 / SEC#: , 8-23933
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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