Bruce L. Beaman
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.
Bruce Leroy Beaman was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1971. Bruce had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 1 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
February 7, 2013 - December 31, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
February 6, 2013 - December 31, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
March 30, 2012 - February 12, 2013
LPL FINANCIAL LLC
March 30, 2012 - February 12, 2013
LPL FINANCIAL LLC
February 23, 2009 - February 14, 2012
U.S. BANCORP INVESTMENTS, INC.
February 20, 2009 - February 14, 2012
U.S. BANCORP INVESTMENTS, INC.
March 4, 2008 - March 6, 2009
LPL FINANCIAL LLC
March 4, 2008 - March 6, 2009
LPL FINANCIAL LLC
August 2, 2007 - March 4, 2008
IFMG SECURITIES, INC.
August 1, 2007 - March 4, 2008
IFMG SECURITIES, INC.
July 2, 2001 - August 9, 2007
DFC INVESTOR SERVICES
February 18, 1998 - July 2, 2001
FISERV INVESTOR SERVICES, INC.
October 18, 1996 - February 18, 1998
AEGON USA SECURITIES INC.
August 17, 1995 - October 31, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
April 21, 1993 - June 28, 1995
SENTRA SECURITIES CORPORATION
November 14, 1988 - June 24, 1991
METLIFE INVESTORS SALES COMPANY
April 15, 1985 - August 15, 1987
ROYAL HUTTON SECURITIES CORP.
November 15, 1983 - April 11, 1985
CINCOTTA & CO.
September 7, 1979 - March 12, 1982
ZIEGLER SECURITIES, INC.
September 28, 1971 - November 19, 1981
B. C. ZIEGLER AND COMPANY
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 1
Date: 9/24/1971
Registered Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
