Jason B. Beckman
Professional summary
Jason Bo-alan Beckman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jason is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Jason had worked at 7 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., NRP FINANCIAL INC., AMERIPRISE ADVISOR SERVICES INC., NORTHEAST SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WELLS FARGO BROKERAGE SERVICES L.L.C., INVESTMENT CENTERS OF AMERICA INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2008 - May 5, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
November 11, 2005 - March 3, 2008
NRP FINANCIAL, INC.
September 18, 2002 - April 13, 2004
AMERIPRISE ADVISOR SERVICES, INC.
April 10, 2002 - September 19, 2002
NORTHEAST SECURITIES, LLC
March 26, 1999 - December 7, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 1997 - March 30, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
November 2, 1995 - October 31, 1997
INVESTMENT CENTERS OF AMERICA, INC.
August 11, 1993 - October 10, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
