Curtis A. Beggs

Some features on this profile are disabled

CRD#: 2233712

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.

Curtis Alan Beggs, who also goes by Curt Beggs, Curtis A Beggs, was a registered financial professional .

Curtis is a previously registered financial professional and started their career in finance in 1992. Curtis had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Curt Beggs | Curtis A Beggs

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.

1.)ELIGIBLE TO RECEIVE REFERRAL FEES FROM TRUST DEPARTMENT. 2.)MEMBER AT LARGE ON CHURCH COUNCIL OF BEULAH UNITED METHODIST CHURCH, 1 HOUR/WK NO COMPENSATION, NO SECURITIES CLIENTS. 3.)FIXED LIFE INSURANCE SALES OUTSIDE OF CETERA

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

February 11, 2014 - April 29, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SOMERSET, PA

Past

February 11, 2014 - April 29, 2022

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SOMERSET, PA

Past

March 3, 2009 - February 12, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOMERSET, PA

Past

March 3, 2009 - February 12, 2014

LPL FINANCIAL LLC

CRD#: 6413

SOMERSET, PA

Past

March 2, 2006 - March 11, 2009

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

GARRETT, PA

Past

November 26, 2002 - March 11, 2009

INVEST FINANCIAL CORPORATION

CRD#: 12984

GARRETT, PA

Past

October 1, 2001 - November 29, 2002

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

June 14, 2000 - October 1, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

May 5, 2000 - June 14, 2000

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

June 2, 1993 - May 2, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

August 11, 1992 - December 5, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/27/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/30/1993

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: 7/11/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/10/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/2/2002

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Curtis A. Beggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

BNY MELLON SECURITIES LLC

NATHAN & LEWIS SECURITIES, INC.

GUARANTY BROKERAGE SERVICES, INC.

NATIONWIDE SECURITIES, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/27/2006

Series 63

Date: 8/30/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/11/2003

Series 6

Date: 8/10/1992

Series 26

Date: 1/2/2002

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors