Stephanie Nicole Beach | Financial Professional

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.

Stephanie Nicole Beach, who also goes by Stephanie Nicole Insley, was a registered financial professional .

Stephanie is a previously registered financial professional and started their career in finance in 2000. Stephanie had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Stephanie Nicole Insley

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

August 23, 2021 - December 2, 2025

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

WILMINGTON, DE

Past

August 18, 2021 - December 2, 2025

REALTA EQUITIES, INC.

BD

CRD#: 23769

GLOUCESTER, VA

Past

August 30, 2016 - March 18, 2020

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

WILLIAMSBURG, VA

Past

August 30, 2016 - March 18, 2020

OSAIC INSTITUTIONS, INC.

BD

CRD#: 35371

WILLIAMSBURG, VA

Past

September 22, 2014 - August 9, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEWPORT NEWS, VA

Past

September 22, 2014 - August 9, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

NEWPORT NEWS, VA

Past

May 20, 2013 - September 13, 2014

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

WILLIAMSBURG, VA

Past

May 20, 2013 - September 13, 2014

OSAIC INSTITUTIONS, INC.

BD

CRD#: 35371

WILLIAMSBURG, VA

Past

February 7, 2013 - May 6, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HAMPTON, VA

Past

February 7, 2013 - May 6, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

HAMPTON, VA

Past

February 9, 2009 - August 20, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEWPORT NEWS, VA

Past

February 9, 2009 - August 20, 2012

LPL FINANCIAL LLC

BD

CRD#: 6413

NEWPORT NEWS, VA

Past

September 25, 2001 - December 15, 2008

MICG INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 104028

NEWPORT NEWS, VA

Past

October 13, 2000 - December 15, 2008

MICG INVESTMENT MANAGEMENT, LLC

BD

CRD#: 104028

NEWPORT NEWS, VA

Past

February 16, 2000 - August 25, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ST. LOUIS, MO

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".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

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).

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.

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

IAR

Series 65

Date: 8/31/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/9/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 31

Date: 10/15/2002

Futures Managed Funds Examination

General Industry/Product Exam

RR

Series 7

Date: 2/14/2000

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 4/25/2006

General Securities Principal Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

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

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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.

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Advisor Monitoring

Firm Stability Insights

Stephanie N. Beach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA INVESTMENT ADVISORS, INC

REALTA EQUITIES, INC.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MICG INVESTMENT MANAGEMENT, LLC

MICG INVESTMENT MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2001

Series 63

Date: 6/9/2000

SIE

Date: 10/1/2018

Series 31

Date: 10/15/2002

Series 7

Date: 2/14/2000

Series 24

Date: 4/25/2006

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

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