David E. Beaty
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.
David Edwin Beaty, who also goes by David Beaty, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - December 31, 2023
THE INVESTMENT CENTER, INC.
March 7, 2003 - July 20, 2010
NEXT FINANCIAL GROUP, INC.
May 4, 2000 - March 11, 2003
FFP SECURITIES, INC.
February 21, 1995 - May 5, 2000
IFG NETWORK SECURITIES, INC.
May 3, 1990 - November 15, 1994
IDS LIFE INSURANCE COMPANY
May 3, 1990 - November 15, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
August 30, 1989 - April 18, 1990
THE STUART-JAMES COMPANY, INCORPORATED
April 20, 1989 - October 4, 1989
UNIVEST CAPITAL MARKETS, INC.
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
Current Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
