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Betsy E Dow

Betsy E Dow

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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 969 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.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Purshe Kaplan Sterling 4 years, 6 months Jan 2010 - Present
Moneta Group 4 years, 6 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
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 04/29/2005
Uniform Securities Agent State Law ExaminationSeries 63 06/25/1985
General Securities Representative ExaminationSeries 7 05/18/1985

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.

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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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