Steven R. Betesh
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.
Steven Ralph Betesh, who also goes by Steve Betesh, Steven Ralph Betesh, Steven Betesh, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2020 - December 9, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 6, 2020 - December 9, 2024
FIDELITY BROKERAGE SERVICES LLC
January 9, 2020 - May 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2019 - May 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2017 - August 30, 2019
EQUITY SERVICES, INC.
October 10, 2006 - November 10, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 2006 - November 10, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2005 - April 10, 2006
OSAIC FS, INC.
December 30, 2000 - December 31, 2004
MMC SECURITIES LLC
April 17, 1998 - December 30, 2000
MARSH & MCLENNAN SECURITIES CORPORATION
May 2, 1995 - January 1, 1997
NYLIFE SECURITIES 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
