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RB

Randy L. Beltramea

Some features on this profile are disabled
CRD#: 1759651
RB

Professional summary

Randy Lee Beltramea was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Randy is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Randy had worked at 4 firms, which includes FFP SECURITIES INC., CUNA BROKERAGE SERVICES INC., CENTURY INVESTORS OF AMERICA INC., AMERIPRISE FINANCIAL SERVICES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 21, 1998 - November 6, 2002

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO
Past

December 11, 1992 - March 13, 1998

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

February 3, 1988 - December 11, 1992

CENTURY INVESTORS OF AMERICA, INC.

BD
CRD#: 5322
Past

December 17, 1987 - February 18, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/5/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/2/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/16/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FS
FFP SECURITIES, INC.
FFP SECURITIES, INC.

CRD#: 16337 / SEC#: , 8-33728

BD
Terminated by SEC on 08/08/2008
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Missouri since 02/21/1985
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ADVANCED EQUITIES FINANCIAL CORP.100% OWNERSHIP
DOZA, JANICE MCFO4663841
FINDALL, LINDA SUESROP1187842
FRIEDMAN, TIMOTHY NATHANCROP1967603
HAEDIKE, CHRISTINE DCCO, DIRECTOR, FFP SECURITIES, INC.2489703
HATTON, ROBERT ALLANCHIEF OPERATING OFFICER1985166
JUNKINS, CRAIG ALLENCEO/PRESIDENT/CHAIRMAN OF THE BOARD830565
RODERMUND, ROBIN HENRYDIRECTOR, FFP SECURITIES, INC.2097379
YANNAKAKIS, ANNE KANELACHIEF LEGAL OFFICER4197441

Disclosures

Regulatory Event38
Arbitration10
Bond1

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.

Company Information

FFP SECURITIES, INC.

CRD#: 16337

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