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Colette L. Beaumont

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CRD#: 2198854
CB

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.

Colette Lenee Beaumont, who also goes by Colette Lenee Housh, was a registered financial professional .

Colette is a previously registered financial professional and started their career in finance in 1992. Colette had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Colette Lenee Housh

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.
ASSETMARK FINANCIAL, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 09/16/2019 - 160 HRS / MONTHLY, BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

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

January 8, 2025 - March 20, 2025

WALTON RE SECURITIES, LLC

BD
CRD#: 172024
SCOTTSDALE, AZ
Past

February 14, 2024 - December 20, 2024

POTOMAC

RIA
CRD#: 105413
Lisle, IL
Past

August 11, 2023 - February 5, 2024

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
Lisle, IL
Past

August 11, 2023 - February 5, 2024

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
Lisle, IL
Past

November 27, 2019 - August 8, 2023

ASSETMARK, INC.

RIA
CRD#: 109018
Chicago, IL
Past

November 27, 2019 - August 8, 2023

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
Chicago, IL
Past

January 20, 2012 - July 18, 2017

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
WHEATON, IL
Past

May 8, 2006 - July 18, 2017

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

March 13, 2000 - August 4, 2003

CALAMOS ADVISORS LLC

RIA
CRD#: 105758
NAPERVILLE, IL
Past

September 29, 1997 - June 24, 2003

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

February 12, 1996 - September 9, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 12, 1995 - February 1, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 26, 1992 - March 7, 1995

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA

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: 10/31/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/22/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/25/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/4/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/26/1993
Investment Company Products/Variable Contracts Principal Examination

Current Firm

WR
WALTON RE SECURITIES, LLC
EI CAPITAL DISTRIBUTORS, LLC | WALTON RE SECURITIES, LLC | ROKA CAPITAL DISTRIBUTORS, LLC | GRT SECURITIES, LLC

CRD#: 172024 / SEC#: , 8-69494

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
8800 N Gainey Center Drive Suite 345, Scottsdale, AZ 85258
Mailing Address
8800 N Gainey Center Drive Suite 345, Scottsdale, AZ 85258
Phone number
(480) 586-9258
Established
Delaware since 03/05/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALTON INTERNATIONAL GROUP (S) PTE LTD.FOREIGN ENTITY
BARENBOIM, LEONARDCCO, AML OFFICER1523181
GEORGE, KENNETH RONALDPOO/CFO/FINOP2643369
HUBBARD, KATHLEENPRESIDENT5564316

Disclosures

Regulatory Event1

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

WALTON RE SECURITIES, LLC

CRD#: 172024

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