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Ann Louise Bett

Smbc Nikko Securities America, Inc.

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About Ann Louise Bett

Ann Louise Bett is a financial advisor who is currently registered with Smbc Nikko Securities America, Inc. in New York. Ann has over 20 years of experience in the financial services industry, working previously at firms such as Etoro USA Securities Inc., ProEquities, Inc., DWS Distributors, Inc., Deutsche Bank Securities Inc., DB Securities Services NJ Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Pruco Securities Corporation. Ann has a broad range of experience in the financial services industry and is licensed to provide investment advice in New York.

Firm Information

Ann Bett is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Ann Bett’s Registration & Firm History

NY

11/02/2023 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NJ

06/28/2021 - 01/03/2023

ETORO USA SECURITIES INC. (Hoboken NJ)

AL

01/31/2020 - 06/17/2021

PROEQUITIES, INC. (BIRMINGHAM AL)

FL

05/03/2018 - 01/28/2020

DWS DISTRIBUTORS, INC. (JACKSONVILLE FL)

FL

01/03/2012 - 05/03/2018

DEUTSCHE BANK SECURITIES INC. (JACKSONVILLE FL)

NJ

09/04/2008 - 01/03/2012

DB SECURITIES SERVICES NJ INC. (JERSEY CITY NJ)

NY

07/25/2006 - 03/07/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

09/10/1996 - 12/31/2002

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BOTH

Issued 09/12/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/11/2013

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/24/2006

Series 7 - General Securities Representative Examination

BC

Issued 08/12/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Ann Louise Bett.
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