Alan K. 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.
Alan Keith Beaty was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1992. Alan had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2007 - September 13, 2016
RUBICON INVESTMENT MANAGEMENT & ANALYTICS
February 15, 2007 - November 30, 2007
SYNERGY INVESTMENT GROUP, LLC
February 15, 2007 - November 30, 2007
SYNERGY INVESTMENT GROUP, LLC
April 28, 2006 - January 17, 2007
UBS FINANCIAL SERVICES INC.
March 2, 2006 - January 17, 2007
UBS FINANCIAL SERVICES INC.
April 15, 1992 - February 23, 1993
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RUBICON INVESTMENT MANAGEMENT & ANALYTICS
CRD#: 141219 / SEC#:
Contact information
Red Flags
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