Betsy B. Serafin
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.
Betsy Bragg Serafin, who also goes by Betsy Burney Bragg, Betsy B Serafin, was a registered financial professional .
Betsy is a previously registered financial professional and started their career in finance in 2000. Betsy had worked at 6 firms and has passed the Series 66, 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
October 3, 2023 - April 23, 2025
NICHOLSON WEALTH MANAGEMENT GROUP, LLC
May 1, 2019 - October 10, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 1, 2019 - October 10, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 4, 2015 - January 14, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 3, 2015 - January 14, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 8, 2011 - March 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 4, 2011 - March 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 1, 2003 - February 25, 2011
UBS FINANCIAL SERVICES INC.
June 30, 2003 - February 25, 2011
UBS FINANCIAL SERVICES INC.
March 18, 2002 - June 13, 2003
MORGAN STANLEY DW INC.
February 15, 2002 - June 13, 2003
MORGAN STANLEY DW INC.
October 12, 2001 - November 30, 2001
BB&T INVESTMENT SERVICES, INC.
July 19, 2000 - October 19, 2001
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
NICHOLSON WEALTH MANAGEMENT GROUP, LLC
CRD#: 327001 / SEC#: 801-128554
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
NICHOLSON WEALTH MANAGEMENT GROUP, LLC
CRD#: 327001 / SEC#: 801-128554
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 524 |
| AUM (Assets Under Management) | $ 291,303,842 |
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.
