Betsy S. Van Hees
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 Sue Van Hees, who also goes by Betsy S Capifoni, Betsy S Schickling, was a registered financial professional .
Betsy is a previously registered financial professional and started their career in finance in 2005. Betsy had worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87 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
November 16, 2016 - January 2, 2018
LOOP CAPITAL MARKETS LLC
June 17, 2009 - July 1, 2016
WEDBUSH SECURITIES INC.
May 27, 2008 - March 20, 2009
CARIS & COMPANY, INC.
May 9, 2007 - March 13, 2008
COWEN AND COMPANY
February 7, 2006 - May 3, 2007
W.R. HAMBRECHT + CO., LLC
August 16, 2005 - February 14, 2006
JEFFERIES 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
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
