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Betsy E Dow

Betsy E Dow

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Other Names: Betsy E Rand, Betsy Ellen Rand
Additional Firm:
Type: SEC and FINRA Registered

Betsy Dow is a financial professional at Purshe Kaplan Sterling Investments, a broker-dealer with over 1,250 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 4 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Purshe Kaplan Sterling 5 years Jan 2010 - Present
Moneta Group 5 years Jan 2010 - Present
Wachovia Securities, LLC 2 years Jan 2008 - Jan 2010
A G Edwards & Sons 7 years, 8 months May 2002 - Jan 2010
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

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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
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

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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
  • Commissions