Betty Y. Nealy Hill
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 Yvonne Nealy Hill, who also goes by Betty Yvonne Nealy, Betty Yvonne Nealy-hill, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 2000. Betty had worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 79, Series 7, Series 27, Series 53, Series 4 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
May 14, 2018 - June 17, 2025
WELLS FARGO SECURITIES, LLC
November 5, 2013 - May 3, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - October 28, 2013
WELLS FARGO SECURITIES, LLC
November 17, 2005 - September 27, 2012
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
October 23, 2002 - August 6, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
April 24, 2002 - August 6, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
February 4, 2002 - April 23, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 2, 2000 - December 31, 2001
HARRISDIRECT 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
