SB
Selim N. Begis
CANACCORD GENUITY WEALTH MANAGEMENT (USA)
Amesbury, MA
Some features on this profile are disabled
CRD#: 2760484
SB
Professional summary
Selim N/a Begis, who also goes by Selim N/a Begis, Sal Begis, is a registered financial advisor currently at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. located in Amesbury, Massachusetts.
Selim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Selim has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 14, Series 10, Series 9, Series 24, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Selim N/a Begis | Sal Begis
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.
CRS (Client Relationship Summary) - RIA
Click below to view Selim N/a Begis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Selim N/a Begis'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®
NoneExperience
Current
February 22, 2022 - Present
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
RIA
BD
CRD#: 7449
Amesbury, MA
Current
February 18, 2022 - Present
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
Office #1: 1200 - 1133 Melville Street, Vancouver, V6E 4E5RIA
BD
CRD#: 7449
VANCOUVER,
Past
August 17, 2017 - February 14, 2022
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RIA
CRD#: 283004
PORTSMOUTH, NH
Past
June 26, 2017 - February 22, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ANDOVER, MA
Past
April 13, 2012 - September 26, 2012
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
BOSTON, MA
Past
March 22, 2012 - March 28, 2012
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
April 27, 2011 - June 27, 2017
CANACCORD GENUITY LLC
BD
CRD#: 1020
BOSTON, MA
Past
June 1, 2009 - April 28, 2011
MORGAN STANLEY
BD
CRD#: 149777
BOSTON, MA
Past
November 10, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BOSTON, MA
Past
October 1, 2002 - November 11, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
March 5, 2001 - November 1, 2001
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
March 17, 1998 - March 5, 2001
SURETRADE INC.
BD
CRD#: 43625
LINCOLN, RI
Past
June 5, 1997 - February 18, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.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
Alabama(2/23/2022)
RR
Alaska(2/18/2022)
RR
Arizona(2/18/2022)
RR
Arkansas(2/18/2022)
RR
California(2/18/2022)
IAR
California(2/22/2022)
RR
Colorado(2/18/2022)
RR
Connecticut(2/18/2022)
RR
Delaware(2/18/2022)
RR
District of Columbia(2/18/2022)
RR
Florida(2/18/2022)
RR
Georgia(2/18/2022)
RR
Hawaii(2/18/2022)
RR
Idaho(2/18/2022)
RR
Illinois(2/18/2022)
RR
Indiana(2/18/2022)
RR
Iowa(2/18/2022)
RR
Kansas(2/18/2022)
RR
Kentucky(2/18/2022)
RR
Louisiana(2/18/2022)
RR
Maine(2/18/2022)
RR
Maryland(2/18/2022)
RR
Massachusetts(2/18/2022)
RR
Michigan(2/18/2022)
RR
Minnesota(2/18/2022)
RR
Mississippi(2/18/2022)
RR
Missouri(2/18/2022)
RR
Montana(2/18/2022)
RR
Nebraska(2/18/2022)
RR
Nevada(2/18/2022)
RR
New Hampshire(2/18/2022)
RR
New Jersey(2/18/2022)
RR
New Mexico(2/18/2022)
RR
New York(2/18/2022)
RR
North Carolina(2/18/2022)
RR
North Dakota(2/18/2022)
RR
Ohio(2/18/2022)
RR
Oklahoma(2/18/2022)
RR
Oregon(2/18/2022)
RR
Pennsylvania(2/18/2022)
RR
Puerto Rico(2/18/2022)
RR
Rhode Island(2/18/2022)
RR
South Carolina(2/18/2022)
RR
South Dakota(2/18/2022)
RR
Tennessee(2/18/2022)
RR
Texas(2/18/2022)
RR
Utah(2/18/2022)
RR
Vermont(2/18/2022)
RR
Virgin Islands(2/18/2022)
RR
Virginia(2/18/2022)
RR
Washington(2/18/2022)
RR
West Virginia(2/18/2022)
RR
Wisconsin(2/18/2022)
RR
Wyoming(2/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1133 Melville Street Suite 1100, Vancouver, Bc, V6E 4E5
Mailing Address
Pmb 2300 250 H Street, Blaine, WA 98230-4018
Phone number
(604) 643-7300
Established
Minnesota since 07/06/1976
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
31
SEC notice filing (12 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 101,217,366 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
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.
