Betty K. Cargill
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 K Cargill, who also goes by Betty Kay Cargill, Betty Kay Croshaw ^, Betty Kay Croshaw, Betty Kay Vaughn ^, Betty Kay Vaughn, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 1997. Betty had worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2013 - February 20, 2015
J.P. MORGAN SECURITIES LLC
December 5, 2013 - February 20, 2015
J.P. MORGAN SECURITIES LLC
August 30, 2012 - December 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2012 - December 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2011 - August 27, 2012
KEY INVESTMENT SERVICES LLC
March 29, 2011 - August 27, 2012
KEY INVESTMENT SERVICES LLC
July 13, 2010 - March 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2010 - March 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2007 - July 8, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 22, 2007 - July 8, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 1, 2007 - October 23, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - October 23, 2007
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2005 - February 1, 2007
ATLAS SECURITIES, LLC
November 20, 2001 - August 9, 2005
METROPOLITAN LIFE INSURANCE COMPANY
November 20, 2001 - August 9, 2005
MSI FINANCIAL SERVICES, INC.
December 8, 2000 - January 16, 2001
BANC ONE SECURITIES CORPORATION
January 28, 1999 - December 16, 1999
METROPOLITAN LIFE INSURANCE COMPANY
January 28, 1999 - December 16, 1999
MSI FINANCIAL SERVICES, INC.
January 1, 1998 - January 7, 1999
OSAIC FS, INC.
June 3, 1997 - November 19, 1997
CRISPIN KOEHLER SECURITIES
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
