Gregg A. Beemer
Professional summary
Gregg Alan Beemer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregg is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Gregg had worked at 3 firms, which includes CAPITAL ANALYSTS, LINCOLN INVESTMENT, CINCINNATI ANALYSTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2012 - November 21, 2014
CAPITAL ANALYSTS
June 1, 2012 - November 21, 2014
LINCOLN INVESTMENT
June 1, 2012 - November 21, 2014
LINCOLN INVESTMENT
December 7, 1999 - June 1, 2012
CINCINNATI ANALYSTS, INC.
March 3, 1993 - June 1, 2012
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
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