PB
Paul R. Beeson
CETERA WEALTH SERVICES
TEMECULA, CA
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CRD#: 1195708
PB
Professional summary
Paul Robert Beeson is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Temecula, California.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1985. Paul has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2022; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES
CRS (Client Relationship Summary) - BD
Click below to view Paul Robert Beeson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 23, 2022 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
TEMECULA, CA
Past
June 29, 2023 - November 14, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
TEMECULA, CA
Past
June 23, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Temecula, CA
Past
May 17, 2022 - June 24, 2022
KCD FINANCIAL, INC.
BD
CRD#: 127473
Temecula, CA
Past
March 28, 2013 - March 2, 2022
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
Temecula, CA
Past
March 18, 2013 - May 17, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
Temecula, CA
Past
August 3, 2009 - December 31, 2012
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
PHOENIX, AZ
Past
August 31, 2006 - December 31, 2012
CUE FINANCIAL GROUP, INC.
RIA
CRD#: 21033
PHOENIX, AZ
Past
June 1, 1998 - August 3, 2009
CUE FINANCIAL GROUP, INC.
BD
CRD#: 21033
PHOENIX, AZ
Past
August 14, 1991 - June 1, 1998
PLENGE, THOMAS & GUNNING SECURITIES, INC.
BD
CRD#: 7463
PHOENIX, AZ
Past
October 31, 1988 - August 7, 1990
BUSCH FINANCIAL GROUP, LTD.
BD
CRD#: 15680
Past
October 25, 1988 - January 29, 1990
CORPORATE BENEFIT SECURITIES, INC.
BD
CRD#: 13975
MISSION VIEJO, CA
Past
January 6, 1987 - May 7, 1987
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
October 1, 1985 - August 18, 1986
ALEXANDRA ARMSTRONG ASSOCIATES, INC.
BD
CRD#: 13232
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/4/2022)
RR
California(6/24/2022)
RR
Minnesota(6/24/2022)
RR
Oklahoma(6/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
