Betty L. Hearn
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.
Betty Louise Hearn, who also goes by Betty Louise Smith, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 1993. Betty had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2014 - November 24, 2014
USAA FINANCIAL ADVISORS, INC.
December 12, 1995 - April 24, 1996
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 26, 1993 - July 6, 1994
NATIONSSECURITIES
February 18, 1993 - July 27, 1993
IDS LIFE INSURANCE COMPANY
February 18, 1993 - July 27, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
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.
