George M. Beale
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.
George Matthew Beale, AIF®, who also goes by George M Beale, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1986. George had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 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
January 6, 2025 - November 6, 2025
CETERA INVESTMENT SERVICES LLC
October 19, 2012 - December 9, 2024
SECURITY DISTRIBUTORS
July 9, 2010 - October 25, 2012
SECURITIES AMERICA ADVISORS, INC.
July 9, 2010 - October 25, 2012
SECURITIES AMERICA, INC.
November 28, 2005 - March 5, 2010
MSI FINANCIAL SERVICES, INC.
November 28, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 28, 2005 - March 5, 2010
MSI FINANCIAL SERVICES, INC.
June 29, 2004 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
June 28, 2004 - December 31, 2005
CITISTREET EQUITIES LLC
April 1, 2002 - June 24, 2004
VOYA FINANCIAL PARTNERS, LLC
September 8, 2000 - June 24, 2004
VOYA FINANCIAL PARTNERS, LLC
October 11, 1995 - July 20, 2000
METROPOLITAN LIFE INSURANCE COMPANY
October 11, 1995 - July 20, 2000
MSI FINANCIAL SERVICES, INC.
June 25, 1994 - July 18, 1995
METLIFE INVESTORS DISTRIBUTION COMPANY
November 5, 1993 - September 22, 1995
AVANTAX INVESTMENT SERVICES, INC.
May 14, 1991 - November 8, 1991
CAPITAL BROKERAGE CORPORATION
July 10, 1989 - March 3, 1990
KEYPORT FINANCIAL SERVICES CORP.
February 11, 1988 - June 14, 1989
HORNOR, TOWNSEND & KENT, LLC
January 13, 1987 - October 8, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 1986 - November 21, 1986
UBS FINANCIAL SERVICES 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
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
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 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
