Thomas P. Beattie
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.
Thomas Patrick Beattie, who also goes by Thomas Patrick` Beattie, Thomas Beattie, Thomas Patrick Beattie, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2018 - May 11, 2023
SW FINANCIAL
April 27, 2017 - August 3, 2018
DAKOTA SECURITIES INTERNATIONAL, INC.
January 11, 2012 - March 29, 2017
CP CAPITAL SECURITIES
August 2, 2010 - December 22, 2011
LINCOLN INVESTMENT
December 1, 2006 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 9, 2002 - December 31, 2006
CP CAPITAL SECURITIES
April 21, 1994 - February 8, 2002
THE PARTNERS FINANCIAL GROUP, INC.
April 17, 1991 - March 28, 1994
PARAGON CAPITAL MARKETS, INC.
January 9, 1990 - September 12, 1990
PARAGON CAPITAL MARKETS, INC.
August 24, 1988 - October 24, 1989
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 19, 1985 - November 2, 1988
BLINDER, ROBINSON & CO., INC.
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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
