Thomas J. Beattie

SAMALIN WEALTH

Chappaqua, NY 10514

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CRD#: 2599387

Professional summary

Thomas James Beattie, CFP® is a registered financial advisor currently at SAMALIN WEALTH located in Chappaqua, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. Long Island Soccer Referee Association; 701-9 Koehler Ave, Ronkonkoma, NY 11779; A non-profit organization whose focus is on soccer referee education and training.; Vice President; A. To participate in the management of the corporation and to perform all the duties of the Executive Vice President in his/her absence or inability to act. B. To serve as Social Chairperson; 06/06/2023; 6 Hours per Month; Not during securities trading hours; Not Investment-Related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Beattie's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

June 24, 2024 - Present

SAMALIN WEALTH

Office #1: 297 King Street, Chappaqua, NY 10514

RIA

CRD#: 142214

Chappaqua, NY

Past

February 24, 2011 - July 1, 2024

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GARDEN CITY, NY

Past

January 24, 2011 - July 1, 2024

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GARDEN CITY, NY

Past

June 1, 2009 - January 11, 2011

MORGAN STANLEY

CRD#: 149777

GARDEN CITY, NY

Past

November 10, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

GARDEN CITY, NY

Past

August 7, 1998 - November 30, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 25, 1995 - August 25, 1998

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

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".

SAMALIN WEALTH

MAPLE HILL ADVISORS, LLC | SAMALIN WEALTH | SAMALIN INVESTMENT COUNSEL, LLC

CRD#: 142214 / SEC#: 801-67465

RIA

Registered Investment Advisory firm - (2/15/2007 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/24/2024)

IAR

Texas
(6/24/2024)

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 65

Date: 2/22/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1995

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: 8/7/1995

General Securities Representative Examination

Current Firm

SAMALIN WEALTH

MAPLE HILL ADVISORS, LLC | SAMALIN WEALTH | SAMALIN INVESTMENT COUNSEL, LLC

CRD#: 142214 / SEC#: 801-67465

RIA

Registered Investment Advisory firm - (2/15/2007 Approved)

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Contact information

Main Address

297 King Street, Chappaqua, NY 10514

Mailing Address

Phone number

(914) 666-6600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SI COUNSEL WRAP BROCHURE (3/18/2025)

SAMALIN INVESTMENT COUNSEL, LLC (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,220
AUM (Assets Under Management)	$ 420,604,795

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.

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Thomas J. Beattie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Beattie's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

SAMALIN WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2011

Series 63

Date: 8/15/1995

SIE

Date: 10/1/2018

Series 7

Date: 8/7/1995

Current Firm

SAMALIN WEALTH

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAMALIN WEALTH

TRUST BUT VERIFY

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