Allen Beatty

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CRD#: 1183938

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.

Allen Beatty was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 1983. Allen had worked at 17 firms and has passed the Series 66, Series 63, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 5, 2008 - January 2, 2014

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

May 29, 2007 - January 31, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

EAST HANOVER, NJ

Past

May 29, 2007 - January 31, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

EAST HANOVER, NJ

Past

May 9, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

EAST HANOVER, NJ

Past

April 16, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

EAST HANOVER, NJ

Past

July 13, 2004 - October 7, 2005

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

FAIRFIELD, NJ

Past

July 13, 2004 - October 7, 2005

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

January 5, 2004 - July 7, 2004

IFMG SECURITIES, INC.

RIA

CRD#: 14416

RANNUDOLPH, NJ

Past

November 8, 2000 - July 7, 2004

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

April 16, 1999 - October 5, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 16, 1999 - October 5, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

September 18, 1996 - August 22, 1997

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

January 31, 1996 - September 18, 1996

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

Past

September 26, 1995 - January 17, 1996

GIBRALTAR SECURITIES CO.

CRD#: 7093

FLORHAM PARK, NJ

Past

April 27, 1995 - September 6, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

April 11, 1995 - April 25, 1995

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

June 1, 1992 - March 10, 1995

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 25, 1990 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Past

July 9, 1990 - October 3, 1990

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

March 14, 1988 - July 31, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 3, 1986 - March 23, 1988

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

May 22, 1984 - January 7, 1986

MOORE & SCHLEY, CAMERON & CO.

CRD#: 6917

Past

April 19, 1984 - January 6, 1986

GMS GROUP

CRD#: 8000

Past

September 1, 1983 - March 22, 1984

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/24/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/31/1983

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/4/1993

General Securities Principal Examination

Current Firm

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Mailing Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Phone number

(973) 535-5000

Established

Delaware since 03/05/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THE GMS GROUP DISCLOSURE BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
GMS GROUP HOLDINGS CORP	MEMBER
CAPONE, CARMINE CLAUDIO	EXECUTIVE VICE PRESIDENT/DIRECTOR	1124455
DEMBOWSKI, DANIELLE DENISE	CHIEF FINANCIAL OFFICER	5855269
DONOHUE, TIMOTHY JOSEPH	SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO	725373
DONOHUE, TIMOTHY JOSEPH	PRESIDENT	725373
ESTANISLAO, LEONARDO	CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR	4622553
FELDMAN, JUSTYN SETH	SENIOR VICE PRESIDENT - DIRECTOR	2283535
FELDMAN, MELVIN	DIRECTOR, SR VICE PRESIDENT	205924
KONSIG, PAUL ROBERT	CEO	500443
KONSIG, PAUL ROBERT	DIRECTOR	500443
KOROSTOFF, DAVID BRUCE	DIRECTOR, SR. VICE PRESIDENT	1205712
LENZI, JEFFREY PAUL	SENIOR VICE PRESIDENT/DIRECTOR	2452390
LIPMAN, MATTHEW ERIC	SECRETARY	2367335
MANTE, PAUL DAVID	SENIOR VICE PRESIDENT - DIRECTOR	4911949
MCKENNA, MICHAEL JAMES	EXECUTIVE VICE PRESIDENT	1524460
PRICE, BARBARA BENEDICT	DIRECTOR, SR. VICE PRESIDENT	17944
VESSELS, STEPHEN GLENN	SENIOR VICE PRESIDENT/DIRECTOR	2403660

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 13,887,060

Disclosures

Regulatory Event	7
Arbitration	10

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.

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Firm Stability Insights

Allen Beatty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

CHEMICAL INVESTMENT SERVICES CORP.

GIBRALTAR SECURITIES CO.

ESSEX NATIONAL SECURITIES, LLC

DIME SECURITIES, INC.

CITICORP INVESTMENT SERVICES

CITICORP FINANCIAL SERVICES,INC.

FINANCIAL HORIZONS SECURITIES CORPORATION

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

MOORE & SCHLEY, CAMERON & CO.

GMS GROUP

DAVID LERNER ASSOCIATES, INC.

Primary Firm SEC Registration

GMS GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 12/24/2003

Series 63

Date: 3/28/1984

Series 7

Date: 5/19/1984

Series 52

Date: 8/31/1983

Series 24

Date: 5/4/1993

Current Firm

GMS GROUP

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GMS GROUP

TRUST BUT VERIFY

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