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Andrew Ellingson Beck Iii

CRD# 2367616·Registered 1994 - 2005
Previously Registered: Being a previously registered professional could mean that Andrew 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.

Professional Summary

Andrew Ellingson Beck III, who also goes by Trey Beck III, was a registered financial advisor. Andrew was a previously registered financial professional and started their career in finance 1994 - 2005. Andrew had worked at 3 firms and has passed the Series 63, SIE, Series 32, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Trey Beck Iii

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

D. E. SHAW VALENCE, L.L.C.·CRD# 31995
BD
New York, NY
July 27, 1999 - April 22, 2005
D.E. SHAW SECURITIES, L.L.C.·CRD# 24332
BD
New York, NY
January 28, 1999 - July 16, 2015
D. E. SHAW INVESTMENTS, L.P.·CRD# 22786
BD
New York, NY
June 23, 1994 - April 22, 2005

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Current Firm

DE
D. E. SHAW VALENCE, L.L.C.

D. E. SHAW VALENCE, L.L.C. | DESMONDE PARTNERS, L.P. | D. E. SHAW VALENCE, L.P.

CRD#: 31995 / SEC#: 8-45594
BD
Terminated by SEC on 11/23/2007

Contact Information

Established

Delaware since 02/22/1993

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
D. E. SHAW VALENCE PORTFOLIOS, L.L.C.MEMBER—
D. E. SHAW & CO., L.P.MANAGING MEMBER—
DINNING, ANNE CAROLYNMANAGING DIRECTOR OF D. E. SHAW & CO., L.P.2078654
ELIAS, ROCHELLE ASSAELCHIEF COMPLIANCE OFFICER724288
GAUDIO, JULIUS RALPHMANAGING DIRECTOR OF D. E. SHAW & CO., L.P.2406744
LIFTIN, JOHN MATTHEWGENERAL COUNSEL OF D. E. SHAW & CO., L.P.1447945
SALKIND, LOUIS KENMANAGING DIRECTOR OF D. E. SHAW & CO., L.P.1926517
SHAW, DAVID ELLIOTCHAIRMAN, PRESIDENT & SOLE SHAREHOLDER OF D. E. SHAW & CO., INC.1557735
STECKLER, STUARTCFO; MANAGING DIRECTOR OF D. E. SHAW & CO., L.P.2022720
STONE, MAXIMILIAN DANAMANAGING DIRECTOR OF D. E. SHAW & CO., L.P.2246217
WEPSIC, ERIC KARLMANAGING DIRECTOR OF D. E. SHAW & CO., L.P.2489161

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2015About the SIE exam

Series 32 — Limited Futures Exam-Regulation

Passed Jul 2014About the Series 32 exam

Series 3 — National Commodity Futures Examination

Passed Jul 1995About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jun 1994About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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