James E. Beach
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.
James Edward Beach was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2013 - December 31, 2021
FORTUNE FINANCIAL SERVICES, INC.
July 10, 2012 - September 12, 2012
FOREST SECURITIES,INC.
July 1, 2010 - December 31, 2011
GWN SECURITIES INC.
February 22, 2005 - December 31, 2021
INTERACTIVE FINANCIAL ADVISORS
February 15, 2005 - July 1, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
January 4, 2005 - February 22, 2005
PMG ASSET MANAGEMENT INC
January 2, 2004 - December 31, 2004
PMG SECURITIES CORPORATION
March 2, 2001 - December 31, 2003
PMG ASSET MANAGEMENT INC
January 2, 2001 - February 15, 2005
PMG SECURITIES CORPORATION
March 18, 1997 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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