Michael C. Betts
Professional summary
Michael C Betts JR., who also goes by Michael Charles Betts Jr, Michael Charles Betts Jr., Michael Betts, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Greenwood Village, Colorado.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael C Betts JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111-4932March 23, 2005 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 14, 2005 - March 23, 2005
TIAA-CREF TRUST COMPANY, FSB
January 1, 2004 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 31, 1998 - January 1, 2004
TEACHERS PERSONAL INVESTORS SERVICES, INC.
September 13, 1995 - March 3, 1998
BOFA DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/23/2021)
(11/19/2021)
(11/19/2021)
(11/19/2021)
Exams
Series 6TO
Date: 12/4/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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