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Betsy E Dow

Betsy E Dow
Other Names: Betsy E Rand, Betsy Ellen Rand
Firm:
Moneta Group Investment Advisors, LLC
Additional Firm:
Purshe Kaplan Sterling Investments
Type: Dual Registration
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Description

Betsy Dow is a financial professional at Moneta Group Investment Advisors, LLC, a broker-dealer with 75 registered representatives nationwide. Betsy is also registered with Purshe Kaplan Sterling Investments. Betsy has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Betsy E Dow has not answered any questions on Financial Q&A.

Top Guides

Betsy E Dow has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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High Net Worth Individuals
Pension and Profit Sharing Plans
Individuals
Corporations or Other Businesses
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Purshe Kaplan Sterling 3 years, 5 months Jan 2010 - Present
Moneta Group 3 years, 5 months Jan 2010 - Present
Wachovia Securities, LLC 2 years Jan 2008 - Jan 2010
A. G. Edwards & Sons 7 years, 8 months May 2002 - Jan 2010
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/26/2010, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
10/26/2010
08/11/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 04/29/2005
Uniform Securities Agent State Law Examination Series 63 06/25/1985
General Securities Representative Examination Series 7 05/18/1985

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions