Keith E. Bettencourt
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.
Keith Eric Bettencourt, who also goes by Keith E Bettencourt, Keith Bettencourt, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2000. Keith had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 14, Series 9, Series 10, Series 53 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
November 8, 2016 - June 23, 2017
FIRST EMPIRE ASSET MANAGEMENT, INC
November 8, 2016 - June 23, 2017
FIRST EMPIRE SECURITIES, INC.
January 28, 2015 - November 9, 2016
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - November 9, 2016
CAPITAL ONE INVESTING, LLC
July 29, 2009 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
July 29, 2009 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
March 3, 2008 - July 30, 2009
HSBC SECURITIES (USA) INC.
June 14, 2006 - July 30, 2009
HSBC SECURITIES (USA) INC.
February 5, 2004 - January 6, 2006
EDWARD JONES
June 13, 2003 - January 6, 2006
EDWARD JONES
January 2, 2003 - June 6, 2003
MOMENTUM INDEPENDENT NETWORK INC.
June 13, 2002 - December 16, 2002
EDWARD JONES
January 19, 2001 - February 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2000 - February 5, 2001
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST EMPIRE ASSET MANAGEMENT, INC
CRD#: 134411 / SEC#: 801-69470
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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