Raymond S. Beck
Professional summary
Raymond S. Beck, who also goes by Raymond Stanley Beck, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Philadelphia, Pennsylvania.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Raymond has worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 15, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Raymond S. Beck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond S. Beck's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 2022 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 1515 Market Street, Ste 1200, Philadelphia, PA 19102December 16, 2022 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 1515 Market Street, Ste 1200, Philadelphia, PA 19102March 3, 2014 - January 5, 2023
MORGAN STANLEY
May 17, 2012 - January 5, 2023
MORGAN STANLEY
July 20, 2001 - March 27, 2012
UBS FINANCIAL SERVICES INC.
October 1, 1999 - July 24, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 13, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 26, 1989 - January 10, 1997
PRUDENTIAL EQUITY GROUP, LLC
May 12, 1978 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 18, 1978 - May 21, 1978
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
February 8, 1974 - January 4, 1977
LOEB, RHOADES & CO. INC.
July 18, 1973 - March 14, 1974
DUPONT WALSTON, INCORPORATED
May 27, 1971 - June 8, 1973
WEIS SECURITIES, INC.
December 16, 1969 - May 30, 1971
SADE & CO.
Primary Firm SEC Registration
PINNACLE INVESTMENTS, LLC
CRD#: 142910 / SEC#: 801-67860, 8-67515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/16/2022)
(2/6/2025)
(12/16/2022)
(1/13/2023)
(2/10/2025)
(12/16/2022)
(12/16/2022)
(2/6/2025)
(12/16/2022)
(12/16/2022)
(12/16/2022)
(12/16/2022)
(2/7/2025)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 6/24/1985
Foreign Currency Options ExaminationSeries 5
Date: 3/10/1983
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 1/31/1961
Registered Representative ExaminationFINRA
Current Firm
PINNACLE INVESTMENTS, LLC
CRD#: 142910 / SEC#: 801-67860, 8-67515
Contact information
SEC notice filing (41 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,860 |
| AUM (Assets Under Management) | $ 1,056,507,711 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 12/23/2024 | ||
| 03/27/2024 | ||
| 03/31/2023 |
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.
