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RB

Rachel Beck

Some features on this profile are disabled
CRD#: 3057401
RB

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.

Rachel Beck, who also goes by Rachel S Beck, was a registered financial professional .

Rachel is a previously registered financial professional and started their career in finance in 2000. Rachel had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rachel S Beck

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 26, 2014 - January 10, 2019

HILLAIR CAPITAL MANAGEMENT LLC

RIA
CRD#: 157022
KATONAH, NY
Past

April 13, 2010 - January 31, 2013

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY
Past

February 24, 2009 - April 8, 2010

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
NEW YORK, NY
Past

May 19, 2003 - December 19, 2008

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

November 3, 2000 - May 27, 2003

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 13, 2000 - November 3, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2000
General Securities Representative Examination

Current Firm

HC
HILLAIR CAPITAL MANAGEMENT LLC
HILLAIR CAPITAL MANAGEMENT LLC

CRD#: 157022 / SEC#: 802-114602

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Contact information

Main Address
13100 Wortham Center Drive 3rd Floor, #3119, Houston, TX 77065
Mailing Address
Phone number
(650) 619-7372
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn2/27/2020
TexasERA - Withdrawn7/14/2023

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.

Company Information

HILLAIR CAPITAL MANAGEMENT LLC

CRD#: 157022

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