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BT

Betty S. Thomas

Some features on this profile are disabled
CRD#: 2803604
BT

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 Sue Thomas, CFP®, ChFC® was a registered financial professional .

Betty is a previously registered financial professional and started their career in finance in 1996. Betty had worked at 3 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

ChFC®

Chartered Financial Consultant

Experience

Past

March 11, 2009 - January 29, 2021

LASSUS WHERLEY

RIA
CRD#: 110924
NEW PROVIDENCE, NJ
Past

March 19, 1998 - December 13, 1999

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

November 13, 1996 - March 11, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/9/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6
Date: 11/12/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LW
LASSUS WHERLEY
LASSUS WHERLEY | LASSUS WHERLEY & ASSOCIATES, P.C. | LASSUS WHERLEY & ASSOCIATES, INC.

CRD#: 110924 / SEC#: 801-27567

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Contact information

Main Address
1 Academy Street, New Providence, NJ 07974-1842
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A DECEMBER 2018 (1/29/2021)

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.

Company Information

LASSUS WHERLEY

CRD#: 110924

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