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WB

Wesley W. Bean

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
Marysville, OH 43040
Some features on this profile are disabled
CRD#: 2795480
WB

Professional summary

Wesley Wayne Bean is a registered financial advisor currently at MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC located in Marysville, Ohio.

Wesley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Wesley has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 6, Series 27, Series 53, Series 51, Series 4 and Series 24 exams.

top-8-questions

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.
Serves as Investment Committee Member for Union County Foundation (Non-Profit). Located at 126 N Main St, Marysville, OH 43040. 1% time spent during business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wesley Wayne Bean'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®
None

Experience

Current

December 21, 2023 - Present

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

Office #1: 127 W. 5th Street, Marysville, OH 43040
RIA
CRD#: 328478
Marysville, OH
Past

June 14, 2016 - December 31, 2023

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
MARYSVILLE, OH
Past

June 14, 2016 - December 31, 2023

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
MARYSVILLE, OH
Past

January 29, 2009 - June 27, 2011

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

August 1, 2008 - March 21, 2016

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
COLUMBUS, OH
Past

November 8, 2005 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA
CRD#: 4082
SALISBURY, NC
Past

September 28, 2005 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

November 4, 2004 - March 21, 2016

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

December 17, 2001 - August 31, 2004

CARROLL FINANCIAL ASSOCIATES INC

RIA
CRD#: 105427
CHARLOTTE, NC
Past

November 7, 2001 - August 30, 2004

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

May 24, 2001 - October 30, 2001

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

February 26, 1999 - March 12, 2001

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

February 13, 1997 - November 17, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 1, 1996 - April 7, 1997

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA

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".
M&
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478 / SEC#: 801-128995

RIA
Registered Investment Advisory firm - (3/4/2024 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
Ohio
(12/22/2023)
IAR
Texas
(12/21/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/28/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/14/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/31/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/12/2008
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/2/2007
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 7/20/2004
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/4/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/21/1999
General Securities Principal Examination

Current Firm

M&
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478 / SEC#: 801-128995

RIA
Registered Investment Advisory firm - (3/4/2024 Approved)
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Contact information

Main Address
127 W. 5th Street, Marysville, OH 43040
Mailing Address
Phone number
(937) 644-0351
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A MARCH 2025 (3/5/2025)

Regulatory assets under management

Total Number of Accounts2,156
AUM (Assets Under Management)$ 641,806,550

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.

Company Information

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478Marysville, OH 43040

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