Betty L. Wilson
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 Lou Wilson, who also goes by Betty Lou Bauer, Betty Bauer Wilson, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 2001. Betty had worked at 10 firms and has passed the Series 66, Series 7 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
December 6, 2010 - December 4, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 30, 2010 - December 4, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 21, 2008 - March 30, 2009
GOLDSTRAND PLANNING GROUP
March 11, 2008 - December 10, 2008
THE O.N. EQUITY SALES COMPANY
August 25, 2006 - March 11, 2008
BANCWEST INVESTMENT SERVICES, INC.
April 7, 2006 - March 11, 2008
BANCWEST INVESTMENT SERVICES, INC.
February 1, 2006 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2006 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2005 - January 17, 2006
NATIONAL PLANNING CORPORATION
February 2, 2005 - January 17, 2006
NATIONAL PLANNING CORPORATION
January 24, 2005 - February 11, 2005
BANCWEST INVESTMENT SERVICES, INC.
January 7, 2005 - January 18, 2005
NATIONAL PLANNING CORPORATION
August 20, 2004 - January 21, 2005
DFC INVESTOR SERVICES
April 6, 2004 - January 21, 2005
DFC INVESTOR SERVICES
January 30, 2003 - March 26, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
February 28, 2002 - June 27, 2002
WELLS FARGO INVESTMENTS, LLC
October 1, 2001 - June 27, 2002
WELLS FARGO INVESTMENTS, 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
