Gerard BettsCRD Number: 1260638
Current Firm: Northeast Asset Management, Inc.
Gerard Betts (CRD# 1260638) is an Investment Advisor Representative working at Northeast Asset Management, Inc. in Mitchell Field, NY and has over 27 years of experience in the finance industry.
Legacy Care Wealth, LLC
Altium Wealth Management LLC
Crimmins Wealth Management, LLC
|Northeast Securities, Inc.||Mitchel Field, NY||Aug 2012 - Current||5|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691||New York, NY||Sep 2006 - Jul 2012||5|
|Jonestrading||New York, NY||Jan 2006 - Sep 2006||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1990|
|S66||NASAA Uniform Combined State Law Examination||Apr 2011|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
Total Assets Under Management347MILLIONS
Total Number of Accounts850ACCOUNTS
Average Account Value$408,028
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AR, AZ, CA, CO, CT, DC, DE, FL, GA, IL, MA, MD, MI, MO, NC, NE, NJ, NM, NY, OH, PA, PR, SC, TN, TX, VA, WV
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