Julie A. Betchwars

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CRD#: 2501332

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.

Julie Ann Betchwars, CFP®, who also goes by Julie A Betchwars, Julie Ann Morris, was a registered financial professional .

Julie is a previously registered financial professional and started their career in finance in 1994. Julie had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Tax Planning

Retirement Income Management

Retirement Planning

Insurance Planning

Social Security Planning

Long-term Care

Investment Planning

Are you a "fiduciary"?

Aliases

Julie A Betchwars | Julie Ann Morris

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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Past

May 9, 2014 - July 31, 2023

CAISSA WEALTH STRATEGIES

RIA

CRD#: 2225

PRIOR LAKE, MN

Past

June 17, 1994 - December 17, 2002

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAISSA WEALTH STRATEGIES

CRD#: 150458 / SEC#: 801-114229

RIA

Registered Investment Advisory firm - (11/2/2018 Approved)

Minnesota

Registered Investment Advisory firm - (11/6/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Series 66

Date: 3/15/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/16/1994

General Securities Representative Examination

Current Firm

CAISSA WEALTH STRATEGIES

CRD#: 150458 / SEC#: 801-114229

RIA

Registered Investment Advisory firm - (11/2/2018 Approved)

Minnesota

Registered Investment Advisory firm - (11/6/2018 Terminated)

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Contact information

Main Address

7825 Washington Ave S. Suite 725, Bloomington, MN 55439

Mailing Address

Phone number

(612) 426-6007

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWS FORM ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	593
AUM (Assets Under Management)	$ 286,298,075

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/22/2025	Cover Page	Report
10/29/2024	Cover Page	Report
10/28/2024	Cover Page	Report
01/17/2024	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Julie A. Betchwars

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINTEGRA, LLC

FINTEGRA, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

FINTEGRA, LLC

FINTEGRA, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

CETERA ADVISORS LLC

Primary Firm SEC Registration

CAISSA WEALTH STRATEGIES

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2006

Series 63

Date: 7/14/1994

Series 7

Date: 6/16/1994

Current Firm

CAISSA WEALTH STRATEGIES

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAISSA WEALTH STRATEGIES

TRUST BUT VERIFY

Contact information

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