Stephen G. Beck
Professional summary
Being a previously registered professional could mean that this person 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.
Stephen Glenn Beck was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 87 and Series 86 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2012 - December 31, 2014
GUGGENHEIM ENERGY ADVISORS, LLC
January 16, 2012 - December 14, 2012
GUGGENHEIM SECURITIES, LLC
January 8, 2007 - July 27, 2009
JEFFERIES LLC
August 11, 2006 - January 5, 2007
MORGAN KEEGAN & COMPANY, LLC
October 21, 1999 - September 22, 2000
TORCH CAPITAL CORPORATION
June 24, 1997 - October 20, 1997
ABN AMRO SECURITIES LLC
March 12, 1997 - March 27, 1997
IDS LIFE INSURANCE COMPANY
March 12, 1997 - March 27, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GUGGENHEIM ENERGY ADVISORS, LLC
CRD#: 159397 / SEC#: , 8-68983
Contact information
Documents
Red Flags
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