Raymond A. Beplat

BEPLAT ASSET MANAGEMENT

Jackson, WY

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CRD#: 2906160

Professional summary

Raymond Aufranc Beplat is a registered financial advisor currently at BEPLAT ASSET MANAGEMENT, INC. located in Jackson, Wyoming.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Raymond has worked at 2 firms and has passed the Series 63 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Aufranc Beplat'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®

None

Experience

Current

November 18, 2017 - Present

BEPLAT ASSET MANAGEMENT, INC.

RIA

CRD#: 153005

Jackson, WY

Past

August 1, 1997 - August 31, 2001

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

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

Wyoming
(11/18/2017)

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

Series 63

Date: 7/31/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/31/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BEPLAT ASSET MANAGEMENT, INC.

CRD#: 153005 / SEC#: 801-71113

RIA

Registered Investment Advisory firm - (8/31/2017 Terminated)

Wyoming

Registered Investment Advisory firm - (7/24/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Jackson, WY

Mailing Address

Po Box 2277, Jackson, WY 83001

Phone number

(307) 690-5065

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 42,332,618

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Raymond A. Beplat

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Aufranc Beplat's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEPLAT ASSET MANAGEMENT, INC.

UST FINANCIAL SERVICES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/1997

Series 6

Date: 7/31/1997

Current Firm

BEPLAT ASSET MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BEPLAT ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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