Richard M. Betts

BARTON CREEK ADVISORS

Round Rock, TX

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CRD#: 2425560

Professional summary

Richard Mark Betts is a registered financial advisor currently at BARTON CREEK ADVISORS, LLC located in Round Rock, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Richard has worked at 3 firms and has passed the Series 63 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.

R. Mark Betts Financial; Investment related: (No); Address: Austin, TX; Life Insurance, Fixed Annuities, and Life Insurance Settlements; Position: Founding Principal; Licensed General Lines Agent (Life, Accident, Health & HMO) since 08/1983; Hours devoted per month: 8 to 10, 0 during securities trading hours; duties: educating and providing clients with a variety of 'foundational insurance products'.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Mark Betts'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

October 22, 2004 - Present

BARTON CREEK ADVISORS, LLC

RIA

CRD#: 130994

Round Rock, TX

Past

November 11, 2003 - June 10, 2004

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

May 6, 1999 - November 19, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

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

Texas
(10/22/2004)

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

Series 63

Date: 4/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/3/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BARTON CREEK ADVISORS, LLC

BARTON CREEK ADVISORS, LLC | MARK BETTS FINANCIAL, LLC | BETTS, RICHARD MARK

CRD#: 130994 / SEC#:

Texas

Registered Investment Advisory firm - (10/22/2004 Approved)

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Contact information

Main Address

Round Rock, TX

Mailing Address

Phone number

(512) 514-0229

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 4,921,704

Red Flags

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

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Richard M. Betts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Mark Betts's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARTON CREEK ADVISORS, LLC

THE O.N. EQUITY SALES COMPANY

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/1998

Series 6

Date: 5/3/1999

Current Firm

BARTON CREEK ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BARTON CREEK ADVISORS, LLC

TRUST BUT VERIFY

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