Betsy S. Emerson
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.
Betsy Sue Emerson, who also goes by Betsy Sue Rabin, Betsy Rabin, Betsy Sue Rosenfeld, Betsy Rosenfeld, was a registered financial professional .
Betsy is a previously registered financial professional and started their career in finance in 1994. Betsy had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 16 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2016 - October 13, 2016
STRATEGIC MARKETING SOLUTIONS LTD., LLC
November 3, 2000 - October 16, 2014
UBS SECURITIES LLC
September 30, 1997 - November 3, 2000
UBS FINANCIAL SERVICES INC.
November 1, 1994 - September 8, 1997
J.P. MORGAN 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
STRATEGIC MARKETING SOLUTIONS LTD., LLC
CRD#: 145577 / SEC#: , 8-67741
Contact information
FINRA licenses (7 States and Territories)
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.
