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JB

Joseph D. Bettencourt

Some features on this profile are disabled
CRD#: 6034837
JB

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.

Joseph Daniel Bettencourt was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2012. Joseph had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. OCT 2019; ASHTON THOMAS PRIVATE WEALTH, BOZEMAN, MT; INVESTMENT RELATED; REGISTERED INVESTMENT ADVISOR; SENIOR WEALTH ADVISOR; SERVICE CLIENT INVESTMENT AND FINANCIAL PLANNING NEEDS; DEVOTE 50 HRS/MONTH, 35 HRS/MONTH DURING MARKET HOURS. 2. OCT 2019; ASHTON THOMAS INSURANCE, BOZEMAN, MT; NON INVESTMENT RELATED; LIFE INSURANCE PLANNING AND SALES; SENIOR WEALTH ADVISOR; PROVIDE FOR CLIENT INSURANCE NEEDS; DEVOTE 5 HOURS/MONTH DURING MARKET HOURS. 3. JUNE 2015; ROCKY MOUNTAIN RESPITE, BOZEMAN, MT; NON INVESTMENT RELATED; RESPITE CARE PROVIDERS FOR SPECIAL NEEDS FAMILIES; TREASURER; BOOKKEEPING, QUARTERLY REPORTING, BANK RECON; DEVOTE 1 HR/MONTH DURING NON MARKET HOURS. 4. 2004; RESIDENTIAL RENTAL PROPERTY, TYRONE, NM; NON INVESTMENT RELATED; RESIDENTIAL RENTAL PROPERTY; OWNER; ANNUAL BOOKKEEPING AND TAXES; DEVOTE .5 HRS/MONTH DURING NON MARKET HOURS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 27, 2020 - June 22, 2022

M. S. HOWELLS & CO.

BD
CRD#: 104100
BOZEMAN, MT
Past

October 23, 2019 - July 5, 2022

ASHTON THOMAS PRIVATE WEALTH

RIA
CRD#: 153902
BOZEMAN, MT
Past

December 17, 2012 - October 30, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
BOZEMAN, MT
Past

July 20, 2012 - October 29, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BOZEMAN, MT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/2012
General Securities Representative Examination

Current Firm

MS
M. S. HOWELLS & CO.
M. S. HOWELLS & CO.

CRD#: 104100 / SEC#: , 8-52558

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
23350 N. Pima Rd., Scottsdale, AZ 85255
Mailing Address
23350 N. Pima Rd., Scottsdale, AZ 85255
Phone number
(480) 563-2000
Established
Delaware since 04/11/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEEOWNER
SANTAMARIA, KATRINA PATRICIACHIEF EXECUTIVE OFFICER3248779
CRITES, MARCY ANNFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)6346298
HOWELLS, MARK STEPHENTRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997726921
HOWELLS, MARK STEPHENEXECUTIVE CHAIRMAN/DIRECTOR726921
JORDAN, CHRISTOPHER SHANECHIEF COMPLIANCE OFFICER2843281
KREIZENBECK, TARA LYNNCHIEF OPERATING OFFICER7141895

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.

Company Information

M. S. HOWELLS & CO.

CRD#: 104100

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