AB
Amy L. Betts
BEAM WEALTH ADVISORS
DENVER, CO
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CRD#: 4154449
AB
Professional summary
Amy Lynn Betts, who also goes by Amy L Mccabe, Amy Lynn Wierling, is a registered financial advisor currently at BEAM WEALTH ADVISORS, INC. located in Denver, Colorado and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Amy has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy L Mccabe | Amy Lynn Wierling
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) 1. BEAM Wealth Advisors, Inc./Benedetti, Gucer & Associates 2. Investment related 3. Office of employment address 4. RIA 5. CCO 6. 01/2012 7. 20 hrs/mo 8. 20 hrs during trading 9. CCO of the RIA 10. CCO for firm
CRS (Client Relationship Summary) - RIA
Click below to view Amy Lynn Betts'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
March 5, 2013 - Present
BEAM WEALTH ADVISORS, INC.
RIA
CRD#: 109867
DENVER, CO
Current
April 1, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 72096 Ramos Ave Suite D, Covington, LA 70433BD
CRD#: 35747
ALBANY, NY
Past
July 9, 2015 - April 1, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DENVER, CO
Past
February 16, 2010 - December 31, 2012
STRATEGIC FINANCIAL CONCEPTS, LLC
RIA
CRD#: 141849
WEST PALM BEACH, FL
Past
January 13, 2010 - July 21, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
W PALM BEACH, FL
Past
March 15, 2006 - November 2, 2009
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
BOSTON, MA
Past
November 21, 2005 - November 2, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
February 13, 2003 - November 11, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, AL
Past
August 21, 2001 - November 11, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
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".
BW
BEAM WEALTH ADVISORS, INC.
ADVOCACY FINANCIAL, LLC | WHIDDON WEALTH MANAGEMENT, LLC | UNIVERSAL FINANCIAL GROUP, INC | TRUE COMPASS FINANCIAL, LLC | THRESHOLD, INC. | SUMMIT INVESTMENT GROUP LLC | SOMMER INVESTMENTS, LLC | ROMANO INSURANCE & INVESTMENT GROUP | ROGERS AND ROGERS | PREMIER WEALTH MANAGEMENT GROUP | OBAN WEALTH MANAGEMENT LLC | MOUNTAIN WEST WEALTH | JUDD WEALTH MANAGEMENT | JOSEPH PIRETTI & ASSOCIATES | JDS WEALTH STRATEGIES | FINESTPLAN LC | FINANCIAL DESIGN GROUP | FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. | FINANCIAL AND INVESTMENT & MANAGEMENT ADVISORS, INC. | DAVIS FINANCIAL | CYPRESS FINANCIAL GROUP | CHARLES BRYAN FINANCIAL GROUP | BGA WEALTH | BGA 401K | BENEDETTI, GUCER & ASSOCIATES | BEAM WEALTH ADVISORS, INC. | BEAM WEALTH ADVISORS | BEAM ASSET MANAGEMENT, LLC | BEAM ASSET MANAGEMENT
CRD#: 109867 / SEC#: 801-60334
RIA
Registered Investment Advisory firm - (6/22/2001 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Colorado(6/7/2019)
RR
Colorado(4/1/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BEAM WEALTH ADVISORS, INC.
ADVOCACY FINANCIAL, LLC | WHIDDON WEALTH MANAGEMENT, LLC | UNIVERSAL FINANCIAL GROUP, INC | TRUE COMPASS FINANCIAL, LLC | THRESHOLD, INC. | SUMMIT INVESTMENT GROUP LLC | SOMMER INVESTMENTS, LLC | ROMANO INSURANCE & INVESTMENT GROUP | ROGERS AND ROGERS | PREMIER WEALTH MANAGEMENT GROUP | OBAN WEALTH MANAGEMENT LLC | MOUNTAIN WEST WEALTH | JUDD WEALTH MANAGEMENT | JOSEPH PIRETTI & ASSOCIATES | JDS WEALTH STRATEGIES | FINESTPLAN LC | FINANCIAL DESIGN GROUP | FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. | FINANCIAL AND INVESTMENT & MANAGEMENT ADVISORS, INC. | DAVIS FINANCIAL | CYPRESS FINANCIAL GROUP | CHARLES BRYAN FINANCIAL GROUP | BGA WEALTH | BGA 401K | BENEDETTI, GUCER & ASSOCIATES | BEAM WEALTH ADVISORS, INC. | BEAM WEALTH ADVISORS | BEAM ASSET MANAGEMENT, LLC | BEAM ASSET MANAGEMENT
CRD#: 109867 / SEC#: 801-60334
RIA
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Contact information
Main Address
72096 Ramos Avenue Suite D, Covington, LA 70433
Mailing Address
Phone number
(985) 893-1440
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,006 |
| AUM (Assets Under Management) | $ 1,314,316,357 |
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.
