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BN

Betty J. Neal

Some features on this profile are disabled
CRD#: 2337931
BN

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 Jean Neal, who also goes by Betty Jean Henson, Betty J Neal, was a registered financial professional .

Betty is a previously registered financial professional and started their career in finance in 1993. Betty had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Betty Jean Henson | Betty J Neal

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 29, 2010 - January 15, 2019

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
SPRINGFIELD, MO
Past

May 18, 2009 - January 5, 2010

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
WICHITA, KS
Past

May 15, 2009 - January 5, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
WICHITA, KS
Past

April 2, 2007 - April 20, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SPRINGFIELD, MO
Past

April 2, 2007 - April 20, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SPRINGFIELD, MO
Past

September 15, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SPRINGFIELD, MO
Past

September 15, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
SPRINGFIELD, MO
Past

April 25, 2003 - September 19, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SPRINGFIELD, MO
Past

April 25, 2003 - September 19, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SPRINGFIELD, MO
Past

February 11, 1999 - April 28, 2003

EDWARD JONES

RIA
CRD#: 250
SPRINGFIELD, MO
Past

January 20, 1999 - April 28, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

August 2, 1994 - January 15, 1999

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

April 30, 1993 - July 29, 1994

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/21/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/7/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/6/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/1993
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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