Charles B. Beck
Professional summary
Charles Brenton Beck, who also goes by Brent Beck, Charles Brent, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rhome, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Charles has worked at 24 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles Brenton Beck's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 3200 Olympus Blvd. Suite 100, Dallas, TX 75019August 23, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019August 23, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019August 23, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019August 23, 2024 - Present
CETERA ADVISORS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019April 1, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
April 1, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
October 15, 2020 - March 8, 2021
TRINITY PORTFOLIO ADVISORS, LLC
May 21, 2020 - November 4, 2020
CHARLES SCHWAB & CO., INC.
May 21, 2020 - November 4, 2020
CHARLES SCHWAB & CO., INC.
February 27, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
January 24, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 26, 2016 - February 26, 2018
SCOTTRADE, INC.
August 22, 2012 - October 21, 2015
STRATEGIC ADVISERS LLC
August 20, 2012 - October 20, 2015
FIDELITY BROKERAGE SERVICES LLC
February 4, 2008 - January 19, 2011
TD AMERITRADE, INC.
February 4, 2008 - January 19, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 25, 2008 - January 19, 2011
TD AMERITRADE, INC.
October 31, 2000 - January 23, 2008
FIDELITY BROKERAGE SERVICES LLC
July 6, 1999 - October 19, 2000
J.P. SECURITIES, INC.
October 27, 1998 - July 28, 1999
BANC ONE SECURITIES CORPORATION
November 5, 1996 - October 20, 1998
PROSPERA FINANCIAL SERVICES, INC.
January 9, 1995 - November 12, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1994 - December 12, 1994
CUNA BROKERAGE SERVICES, INC.
September 7, 1989 - December 31, 1993
MEMBERS INVESTMENT SERVICES, INC.
May 6, 1989 - July 17, 1989
DREYFUS BROKERAGE SERVICES, INC.
December 14, 1988 - March 30, 1989
CAPITAL FIRST SECURITIES, INC.
November 25, 1988 - June 9, 1989
INDEPENDENT INVESTMENT BROKERS OF AMERICA
March 9, 1987 - September 19, 1988
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2025)
(9/5/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
