Richard Beatty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Beatty, who also goes by Dick Beatty, Richard Burton Beatty, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 17 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2016 - May 11, 2021
J.P. MORGAN SECURITIES LLC
December 6, 2016 - May 11, 2021
J.P. MORGAN SECURITIES LLC
May 25, 2016 - July 27, 2016
PRUCO SECURITIES, LLC.
May 1, 2014 - January 12, 2016
OSAIC SERVICES, INC.
August 29, 2013 - February 21, 2014
NYLIFE SECURITIES LLC
January 28, 2009 - August 7, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
August 1, 2008 - December 19, 2008
NATIONWIDE SECURITIES, LLC
August 1, 2008 - December 19, 2008
NATIONWIDE SECURITIES, LLC
March 4, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
February 14, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
May 15, 2006 - January 18, 2008
ALLSTATE FINANCIAL SERVICES, LLC
October 24, 2000 - January 11, 2006
NATIONWIDE SECURITIES, LLC
July 20, 1999 - March 22, 2000
NEW ENGLAND SECURITIES
March 14, 1995 - October 6, 1995
FSC SECURITIES CORPORATION
November 5, 1990 - August 1, 1994
CHARLES SCHWAB & CO., INC.
January 23, 1990 - September 13, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 5, 1989 - September 12, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 28, 1988 - August 25, 1988
CUNA BROKERAGE SERVICES, INC.
March 31, 1987 - April 30, 1988
MONEY CONCEPTS CAPITAL CORP
September 23, 1986 - April 13, 1987
SII INVESTMENTS, INC.
June 15, 1984 - October 1, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 21, 1983 - March 12, 1984
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
