BB
Bruce D. Beaty
MADISON AVENUE SECURITIES
San Diego, CA 92128
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CRD#: 2930437
BB
Professional summary
Bruce Douglas Beaty is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in San Diego, California.
Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Bruce has worked at 7 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.
1. Heartland investment advisory services, corporation, Start date: 10/15/2020, 13500 Evening Creek Dr. N Suite 555, San Diego CA 92128, Investment Advisory Services, Conducts Annuity and IUL business, sole proprietor, receives fees in compensation, personally investment towards marketing, operations, and sales for the business, 15 hours per week some of which will occur during normal business hours. 2. Asset Marketing System, Business consultant, Start date: 08/5/2020, receives base salary plus commission, will conduct services during normal business hours. 3. Superior Retirement Solutions, LLC; Start date: 05/01/2022, 121 Broad Street Lancaster, OH 43130,Referral Partner to help their clients with AUM where appropriate. Receives fees for AUM; ~3 hours per week potentially during business hours since the time difference. 4. Dynamic Planning Network LLC; Start Date: 10/1/2023; Investment Related: Yes; Position: Marketing and Consulting Fees, Insurance Commissions; Duties: Managing Member; Hours: 10 per week 5. Asset Marketing System; 13500 Evening Creek Dr. N Suite 555, San Diego CA 92128; Investment Related: Yes; Position: Existing; Duties: Vice President, Business Consultant; Hours: 40 per week; Start Date: 8/1/2017 6. R&B Ventures, LLC; Investment Related: No; Position: Managing Partner; Hours Per Week: 2 Hours; Start Date: 8/15/2024 7. Quail Holding, LLC; Investment Related: No; Position: Managing Partner; Hours Per Week: 2 Hours; Start Date: 8/20/2025
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Douglas Beaty'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
June 11, 2020 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 13500 Evening Creek Dr N. Suite 550, San Diego, CA 92128RIA
BD
CRD#: 23224
San Diego, CA
Past
August 26, 2013 - December 16, 2015
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
RIA
CRD#: 162143
ROHNERT PARK, CA
Past
November 19, 2009 - September 14, 2010
GWN SECURITIES INC.
BD
CRD#: 128929
PETALUMA, CA
Past
January 18, 2006 - November 14, 2007
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
January 10, 2001 - August 27, 2003
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
Past
August 11, 1998 - July 1, 1999
STANTON INVESTMENT SERVICES, INC.
BD
CRD#: 29462
PLYMOUTH, MN
Past
September 24, 1997 - July 14, 1998
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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.Highlighted states indicate IAR registrations
IAR
California(6/11/2020)
IAR
Texas(6/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
