Bethany Esse
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.
Bethany Esse, who also goes by Bethany R Esse, Bethany Rose Stevens, was a registered financial professional .
Bethany is a previously registered financial professional and started their career in finance in 2014. Bethany had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2024 - June 2, 2025
FIDELITY & GUARANTY SECURITIES, LLC
March 8, 2019 - October 30, 2023
ALLIANZ LIFE FINANCIAL SERVICES, LLC
September 14, 2016 - March 6, 2019
QUESTAR ASSET MANAGEMENT, INC.
November 25, 2014 - March 6, 2019
QUESTAR CAPITAL CORPORATION
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
FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720 / SEC#: , 8-70916
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| PHELPS, JOHN A | DIRECTOR | 5664815 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
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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