Betty N. Tam
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.
Betty N Tam, who also goes by Betty N Tam, Betty Naiwai Tam, Nai Wai Tam, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 1996. Betty had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2014 - July 11, 2014
EDWARD JONES
August 30, 2013 - July 11, 2014
EDWARD JONES
August 5, 2013 - August 22, 2013
MML INVESTORS SERVICES, LLC
July 22, 2010 - October 11, 2010
MSI FINANCIAL SERVICES, INC.
June 21, 2010 - October 11, 2010
MSI FINANCIAL SERVICES, INC.
November 24, 2009 - March 9, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 19, 2009 - March 9, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 22, 2005 - January 5, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 16, 2005 - September 13, 2005
ATLAS SECURITIES, LLC
January 21, 2005 - August 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 21, 2005 - August 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 28, 2003 - December 16, 2004
TD AMERITRADE, INC.
August 22, 2002 - December 16, 2004
TD AMERITRADE, INC.
February 14, 2002 - May 21, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
July 30, 1997 - December 17, 2001
CHARLES SCHWAB & CO., INC.
July 16, 1997 - July 31, 1997
CITICORP INVESTMENT SERVICES
October 22, 1996 - July 17, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
