Betty R. Poppo
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 Rae Poppo, who also goes by Betty Rae Vanvlack, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 1980. Betty had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 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
May 1, 2006 - December 31, 2018
CADARET, GRANT & CO., INC.
February 11, 2004 - December 31, 2018
CADARET, GRANT & CO., INC.
August 1, 2003 - February 19, 2004
WALNUT STREET SECURITIES, INC.
April 14, 1994 - May 24, 2004
BRP FINANCIAL SERVICES
April 5, 1994 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
March 31, 1994 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
July 21, 1986 - April 5, 1994
GAGE-WILEY & CO., INC.
October 30, 1980 - July 25, 1986
G. R. PHELPS & CO., INC.
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
Series 1
Date: 10/23/1980
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
