Jimmy J. 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.
Jimmy Jack Beale was a registered financial advisor .
Jimmy is a previously registered financial advisor and started their career in finance in 1969. Jimmy had worked at 5 firms and has passed the Series 63, SIE, Series 15, Series 1, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2013 - January 7, 2015
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - January 7, 2015
RAYMOND JAMES & ASSOCIATES, INC.
July 11, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
July 10, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
January 1, 2008 - July 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
June 28, 1988 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 27, 1988 - January 3, 2008
A. G. EDWARDS & SONS, INC.
December 24, 1985 - June 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 1969 - November 23, 1985
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Series 15
Date: 10/25/1984
Foreign Currency Options ExaminationSeries 1
Date: 2/13/1969
Registered Representative ExaminationSeries 12
Date: 3/20/1974
NYSE Branch Manager ExaminationSeries 00
Date: 3/12/1974
General Securities Principal ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
