Keith Enrique Beck
Professional Summary
Keith Enrique Beck, who also goes by Hector Enrique Yardy Jr., was a registered financial advisor. Keith was a previously registered financial professional and started their career in finance 1989 - 2020. Keith had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Hector Enrique Yardy Jr.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
GREAT POINT ADVISORS, LLC | QUINCY WELLS ADVISORS, LLC
Contact Information
Main Address
145 South Wells, Ste 1301, Chicago, IL 60606Mailing Address
9000 Keystone Crossing 7th Floor, Indianapoli, IN 46240Phone Number
(312) 356-4875# of Employees
22SEC notice filing (26 States and Territories)
Registered to provide investment advisory services in 26 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
406AUM (Assets Under Management)
$87,346,834Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
GREAT POINT ADVISORS, LLC | QUINCY WELLS ADVISORS, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Dec 2022About the Series 79TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2022About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2022About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1996Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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