Thomas A. Bettis
Professional summary
Thomas Alford Bettis IV, who also goes by Thomas Alford Bettis, Tom Bettis, is a registered financial professional currently at SUNSET FINANCIAL SERVICES, INC. located in Kansas City, Missouri.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2021. Thomas has worked at 2 firms and has passed the Series 6TO, SIE and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Alford Bettis IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2023 - Present
SUNSET FINANCIAL SERVICES, INC.
Office #1: 3520 Broadway, Kansas City, MO 64111November 30, 2021 - May 12, 2023
N.I.S. FINANCIAL SERVICES, 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 6TO
Date: 11/30/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
SUNSET FINANCIAL SERVICES, INC.
CRD#: 3538 / SEC#: 801-71636, 8-14148
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KANSAS CITY LIFE INSURANCE COMPANY, INC. | PARENT COMPANY - OWNER | |
| ALVEY, DANIEL D'ANGELO | FINOP | 8114927 |
| BIXBY, ROBERT PHILIP | DIRECTOR | 2109740 |
| BIXBY, WALTER EDWIN III | DIRECTOR | 2687392 |
| BRANDT, JANICE LEE | VICE PRESIDENT - CHIEF COMPLIANCE OFFICER BROKER/DEALER | 3232016 |
| DENNEY, SUSANNA JAYNE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2467520 |
| LAIRD, DAVID ARNOLD | DIRECTOR | |
| MASON, ALAN CRAIG JR | SECRETARY, DIRECTOR | |
| MILTON, MARK ALAN | DIRECTOR | 2155553 |
| NOGALSKI, JOHN LOUIS | VICE PRESIDENT, TAXES | 8083220 |
| PEIL, KRISTEN MICHELLE | AVP | 2438293 |
| PIEPER, JENNIFER KAY | VICE PRESIDENT, TREASURER & CONTROLLER | 7832157 |
| ULLOM, KELLY TODD | PRESIDENT / DIRECTOR | 1569201 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
Red Flags
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