Angus D. Beal
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.
Angus Deford Beal was a registered financial professional .
Angus is a previously registered financial professional and started their career in finance in 1998. Angus had worked at 1 firm and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 1998 - May 24, 1999
ALL-TECH DIRECT, 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
ALL-TECH DIRECT, INC.
CRD#: 13992 / SEC#: , 8-26336
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSHMORE FINANCIAL SERVICES | SHAREHOLDER | |
| HOUTKIN, HARVEY IRA | MSRP | 251066 |
| HOUTKIN, HARVEY IRA | CHAIRMAN OF BOARD /CEO/SECY | 251066 |
| LEFKOWITZ, HARRY MARTIN | DIRECTOR | 1454925 |
| LERNER, LINDA | CHIEF LEGAL OFFICER | 2350733 |
| MARGA, STEPHEN JOHN JR | SROP/CROP | 2276644 |
| OGELE, FRANKLIN IHENDU | CHIEF COMPLIANCE OFFICER/FIN OP | 2197820 |
| SHEFTS, MARK DAVID | PRESIDENT/DIRECTOR | 709147 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
