Betty J. Kelley
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 Jane Webster Kelley, who also goes by Better Jane Webster Kolner, Betty Jane Webster Kolner, Betty Jane Maniotis, Betty Jane Webster Maniotis, Jane Webster Maniotis, Betty Jane Mcandrew, Betty Jane Webster Mcandrew, Betty Jane Webster, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 1981. Betty had worked at 7 firms and has passed the Series 63, SIE 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
June 6, 2008 - November 1, 2017
GMS GROUP
April 2, 2007 - February 28, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 28, 2008
MORGAN STANLEY & CO. LLC
May 8, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 10, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 30, 1996 - May 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1996 - May 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 1992 - August 4, 1995
YOUR DISCOUNT BROKER, INC.
November 28, 1986 - July 17, 1989
MORGAN STANLEY DW INC.
August 10, 1983 - September 11, 1986
PRUDENTIAL EQUITY GROUP, LLC
May 18, 1981 - October 13, 1982
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
GMS GROUP
CRD#: 8000 / SEC#: 801-126662, 8-23936
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
GMS GROUP
CRD#: 8000 / SEC#: 801-126662, 8-23936
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMS GROUP HOLDINGS CORP | MEMBER | |
| CAPONE, CARMINE CLAUDIO | EXECUTIVE VICE PRESIDENT/DIRECTOR | 1124455 |
| DEMBOWSKI, DANIELLE DENISE | CHIEF FINANCIAL OFFICER | 5855269 |
| DONOHUE, TIMOTHY JOSEPH | SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | 725373 |
| DONOHUE, TIMOTHY JOSEPH | PRESIDENT | 725373 |
| ESTANISLAO, LEONARDO | CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR | 4622553 |
| FELDMAN, JUSTYN SETH | SENIOR VICE PRESIDENT - DIRECTOR | 2283535 |
| FELDMAN, MELVIN | DIRECTOR, SR VICE PRESIDENT | 205924 |
| KONSIG, PAUL ROBERT | CEO | 500443 |
| KONSIG, PAUL ROBERT | DIRECTOR | 500443 |
| KOROSTOFF, DAVID BRUCE | DIRECTOR, SR. VICE PRESIDENT | 1205712 |
| LENZI, JEFFREY PAUL | SENIOR VICE PRESIDENT/DIRECTOR | 2452390 |
| LIPMAN, MATTHEW ERIC | SECRETARY | 2367335 |
| MANTE, PAUL DAVID | SENIOR VICE PRESIDENT - DIRECTOR | 4911949 |
| MCKENNA, MICHAEL JAMES | EXECUTIVE VICE PRESIDENT | 1524460 |
| PRICE, BARBARA BENEDICT | DIRECTOR, SR. VICE PRESIDENT | 17944 |
| VESSELS, STEPHEN GLENN | SENIOR VICE PRESIDENT/DIRECTOR | 2403660 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 13,887,060 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
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.
