Steven M. Beatty

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CRD#: 1259282

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.

Steven Mark Beatty, who also goes by Steve Beatty, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Beatty

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

July 9, 2020 - June 29, 2021

IPI WEALTH MANAGEMENT, INC.

RIA

CRD#: 111872

Hollywood, FL

Past

June 26, 2020 - June 29, 2021

INVESTMENT PLANNERS, INC.

CRD#: 18557

DECATUR, IL

Past

January 14, 2010 - July 27, 2018

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

NATICK, MA

Past

January 14, 2010 - July 27, 2018

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

May 28, 2008 - January 6, 2010

PACER FINANCIAL, INC.

CRD#: 137040

MALVERN, PA

Past

March 15, 2006 - March 18, 2008

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - March 18, 2008

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

July 8, 2004 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 25, 2001 - April 26, 2004

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

November 14, 1994 - April 26, 2004

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

August 11, 1992 - September 13, 1994

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Past

September 30, 1987 - August 3, 1992

MFS FINANCIAL SERVICES, INC.

CRD#: 18309

BOSTON, MA

Past

March 19, 1986 - June 10, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

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".

IPI WEALTH MANAGEMENT, INC.

CRD#: 111872 / SEC#: 801-56878

RIA

Registered Investment Advisory firm - (11/1/1999 Approved)

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 65

Date: 10/8/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Current Firm

IPI WEALTH MANAGEMENT, INC.

CRD#: 111872 / SEC#: 801-56878

RIA

Registered Investment Advisory firm - (11/1/1999 Approved)

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Contact information

Main Address

226 W. Eldorado, Decatur, IL 62522

Mailing Address

P.o. Box 170, Decatur, IL 62525-0170

Phone number

(217) 425-6340

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IPI WEALTH MANAGEMENT ADV2A (6/9/2025)

Regulatory assets under management

Total Number of Accounts	10,743
AUM (Assets Under Management)	$ 2,248,994,441

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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Advisor Monitoring

Firm Stability Insights

Steven M. Beatty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESTMENT PLANNERS, INC.

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

PACER FINANCIAL, INC.

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

MFS FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

IPI WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2001

Series 63

Date: 3/26/1986

SIE

Date: 7/27/2018

Series 7

Date: 3/15/1986

Current Firm

IPI WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IPI WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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