Stephen A. Beam

STONEX ADVISORS

Woburn, MA 01801

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CRD#: 2192544

Professional summary

Stephen Anthony Beam, who also goes by Steve Beam, is a registered financial advisor currently at STONEX ADVISORS INC. located in Woburn, Massachusetts and STONEX SECURITIES INC. located in Woburn, Massachusetts.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Beam

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) - RIA

Click below to view Stephen Anthony Beam's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 30, 2015 - Present

STONEX ADVISORS INC.

Office #1: 10 Tower Office Park Suite 600, Woburn, MA 01801

RIA

CRD#: 174182

Woburn, MA

Current

September 12, 2014 - Present

STONEX SECURITIES INC.

Office #1: 10 Tower Office Park Suite 600, Woburn, MA 01801

CRD#: 18456

Woburn, MA

Past

April 29, 2008 - January 30, 2015

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

WOBURN, MA

Past

April 2, 2008 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

WOBURN, MA

Past

August 15, 2006 - April 2, 2008

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

April 13, 2006 - August 15, 2006

KOVACK SECURITIES INC.

RIA

CRD#: 44848

WOBURN, MA

Past

March 31, 2006 - April 2, 2008

KOVACK SECURITIES INC.

CRD#: 44848

WOBURN, MA

Past

January 12, 2006 - April 3, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

WOBURN, MA

Past

December 13, 2004 - April 3, 2006

LPL FINANCIAL LLC

CRD#: 6413

WOBURN, MA

Past

October 20, 2004 - December 13, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

STONEHAM, MA

Past

October 20, 2004 - December 13, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

July 22, 2003 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

STONEHAM, MA

Past

September 25, 2000 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

January 2, 1996 - September 25, 2000

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

March 10, 1994 - December 31, 1995

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

June 15, 1992 - November 8, 1993

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STONEX ADVISORS INC.

CRD#: 174182 / SEC#: 801-80747

RIA

Registered Investment Advisory firm - (12/17/2014 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(10/15/2015)

Florida
(9/12/2014)

Georgia
(3/21/2019)

Maine
(5/25/2017)

Massachusetts
(9/12/2014)

IAR

Massachusetts
(1/30/2015)

New Hampshire
(9/12/2014)

New York
(6/22/2015)

Rhode Island
(9/12/2014)

Texas
(1/21/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/11/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

STONEX ADVISORS INC.

CRD#: 174182 / SEC#: 801-80747

RIA

Registered Investment Advisory firm - (12/17/2014 Approved)

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Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

Phone number

(800) 292-2411

Established

Firm type

Fiscal year end

# of Employees

220

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAI ADV2A 121925 (12/22/2025)

Regulatory assets under management

Total Number of Accounts	15,487
AUM (Assets Under Management)	$ 5,092,884,780

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2026	Cover Page	Report
03/27/2025	Cover Page	Report
02/27/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephen A. Beam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Anthony Beam's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

KOVACK SECURITIES INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

FIS SECURITIES, INC.

FORESIDE FUNDS DISTRIBUTORS LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

STONEX ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/7/1999

Series 63

Date: 1/8/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1997

Series 6

Date: 6/11/1992

FINRA

Current Firm

STONEX ADVISORS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STONEX ADVISORS INC.

TRUST BUT VERIFY

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