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LB

Lee D. Beck

FCA CAPITAL MARKETS LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 2225933
LB

Professional summary

Lee Davison Beck, who also goes by Lee Davison Beck, is a registered financial professional currently at FCA CAPITAL MARKETS LLC located in Denver, Colorado.

Lee is registered as a RR (Registered Representative) and started their career in finance in 1992. Lee has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Davison Beck

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) - BD

Click below to view Lee Davison Beck's 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

December 12, 2023 - Present

FCA CAPITAL MARKETS LLC

Office #1: 240 Saint Paul Street Suite 400, Denver, CO 80206
BD
CRD#: 322688
Denver, CO
Past

July 11, 2022 - May 18, 2023

VIGILANT DISTRIBUTORS, LLC

BD
CRD#: 285573
CHADDS FORD, PA
Past

June 13, 2018 - December 31, 2020

WAVECREST SECURITIES LLC

BD
CRD#: 160135
BRENTWOOD, TN
Past

March 3, 2015 - September 9, 2016

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PRINCETON, NJ
Past

May 23, 2011 - June 16, 2011

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA
CRD#: 107038
NEW YORK, NY
Past

April 26, 2011 - November 12, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

February 14, 2011 - April 5, 2011

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

January 29, 2003 - August 17, 2007

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

RIA
CRD#: 108057
NEW YORK, NY
Past

January 15, 2002 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

August 23, 2001 - January 25, 2002

NICHOLAS-APPLEGATE SECURITIES LLC

BD
CRD#: 31205
SAN DIEGO, CA
Past

September 30, 1999 - December 21, 2000

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

August 29, 1997 - July 30, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

September 10, 1993 - January 3, 1997

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA
Past

May 15, 1992 - July 8, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Colorado
(12/12/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/2/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/8/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/12/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/4/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

FC
FCA CAPITAL MARKETS LLC
FCA CAPITAL MARKETS LLC

CRD#: 322688 / SEC#: , 8-70970

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

Main Address
240 Saint Paul Street Suite 400, Denver, CO 80206
Mailing Address
240 Saint Paul Street Suite 400, Denver, CO 80206
Phone number
(303) 501-8880
Established
Delaware since 06/27/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FORUM INVESTMENT GROUP LLCMEMBER
BECK, LEEPRINCIPAL2225933
THORNTON, STEVEN LEEFINOP, POO, PFO, CCO, AMLCO, EXECUTIVE REP4496384

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

FCA CAPITAL MARKETS LLC

CRD#: 322688Denver, CO 80206

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