Keith E. Beck
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.
Keith Enrique Beck, who also goes by Hector Enrique Yardy Jr., was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1989. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2020 - December 31, 2020
QUINCY WELLS ADVISORS, LLC
June 28, 2019 - March 16, 2020
BLUESKYE INVESTMENT ADVISERS, LLC
June 26, 2019 - December 31, 2020
GREAT POINT CAPITAL LLC
March 7, 2016 - July 31, 2017
PAULSON INVESTMENT COMPANY LLC
October 23, 2015 - July 31, 2017
PAULSON INVESTMENT COMPANY LLC
November 12, 2014 - February 4, 2016
MONTICELLO INVESTMENT SERVICES, INC.
June 17, 2014 - October 21, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
June 20, 2006 - November 20, 2012
ADVANCED EQUITIES, INC.
June 19, 2006 - November 20, 2012
ADVANCED EQUITIES, INC.
November 2, 2004 - April 5, 2005
LBMZ SECURITIES, INC.
January 31, 2002 - May 2, 2003
CHICAGO INVESTMENT GROUP, LLC
February 3, 2000 - May 2, 2003
CHICAGO INVESTMENT GROUP, LLC
January 6, 1998 - January 28, 2000
RICHARD B. VANCE & COMPANY
April 27, 1992 - January 8, 1998
GRUNTAL & CO., L.L.C.
June 15, 1990 - April 19, 1991
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
May 23, 1989 - April 9, 1990
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
QUINCY WELLS ADVISORS, LLC
CRD#: 307477 / SEC#: 801-118231
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 7TO
Date: 12/16/2022
General Securities Representative ExaminationSeries 79TO
Date: 12/16/2022
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 12/16/2022
Operations Professional ExaminationSeries 8
Date: 12/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QUINCY WELLS ADVISORS, LLC
CRD#: 307477 / SEC#: 801-118231
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 149 |
| AUM (Assets Under Management) | $ 45,094,304 |
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.
