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Information

Other Names: Betsy E Rand, Betsy Ellen Rand
Firm:
Additional Firm:
Type: Dual Registration
Description

Betsy Dow is a financial professional at Purshe Kaplan Sterling Investments, a broker-dealer with 929 registered representatives nationwide. Betsy is also registered with Moneta Group Investment Advisors, LLC, a $14B RIA based in Downtown Clayton, MO. Betsy has held an industry securities registration for 28 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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.
*Answers and guides are provided without compensation.

Firm Client Types

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

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

Experience and Employment History

Employer Years Dates
Moneta Group 4 years, 3 months Jan 2010 - Present
Purshe Kaplan Sterling 4 years, 3 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

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/26/2010
08/12/2013
*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

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