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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 Firms:
Type: SEC and FINRA Registered
Description

Betsy Dow is a financial professional at Montage Securities, LLC, a broker-dealer with 118 registered representatives nationwide. Betsy is also registered with Mariner Wealth Advisors, LLC, a $10B RIA based in Pinnacle Corporate Centre, KS and Mariner Wealth Advisors, a $0 RIA based in Pinnacle Corporate Centre, KS. Betsy has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Mariner Wealth Advisors 1 month Jun 2015 - Present
Mariner Wealth Advisors - St. Louis 1 month Jun 2015 - Present
Montage Securities, LLC 1 month Jun 2015 - Present
Moneta Group 5 years, 6 months Jan 2010 - Present
Purshe Kaplan Sterling 5 years, 5 months Jan 2010 - Jun 2015
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

No client types listed.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/01/2015
06/25/2015
*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

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees