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RB

Rose M. Beppu

Some features on this profile are disabled
CRD#: 4187341
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.

Rose May Beppu, CFP®, who also goes by Lucy Beppu, Lucy May Woo, was a registered financial professional .

Rose is a previously registered financial professional and started their career in finance in 2000. Rose had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lucy Beppu | Lucy May Woo

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) NAME OF OTHER BUSINESS: ORIA - PAUL R. RIED FINANCIAL GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY BUSINESS; POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE; START DATE: 08/2018; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND INVESTMENT ADVISOR SERVICES;

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®
CFP®

Certified Financial Planner

Experience

Past

August 16, 2018 - November 3, 2022

PAUL R. RIED FINANCIAL GROUP, LLC

RIA
CRD#: 297284
BELLEVUE, WA
Past

June 14, 2016 - October 31, 2022

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
BELLEVUE, WA
Past

June 14, 2016 - October 31, 2022

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BELLEVUE, WA
Past

August 25, 2011 - November 9, 2015

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
BELLEVUE, WA
Past

December 13, 2005 - November 9, 2015

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BELLEVUE, WA
Past

March 12, 2003 - October 5, 2005

HARRISDIRECT LLC

RIA
CRD#: 42159
BELLEVUE, WA
Past

May 1, 2002 - October 5, 2005

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

July 7, 2000 - May 1, 2002

HARRIS INVESTORLINE INC.

BD
CRD#: 6362
SEATTLE, WA

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".
PR
PAUL R. RIED FINANCIAL GROUP, LLC
PAUL R. RIED FINANCIAL GROUP, LLC

CRD#: 297284 / SEC#: 801-113796

RIA
Registered Investment Advisory firm - (8/3/2018 Approved)

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: 3/11/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/14/2000
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 7
Date: 7/6/2000
General Securities Representative Examination

Current Firm

PR
PAUL R. RIED FINANCIAL GROUP, LLC
PAUL R. RIED FINANCIAL GROUP, LLC

CRD#: 297284 / SEC#: 801-113796

RIA
Registered Investment Advisory firm - (8/3/2018 Approved)
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Contact information

Main Address
10801 Main Street Suite 201, Bellevue, WA 98004-6366
Mailing Address
Phone number
(425) 646-6777
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PAUL RIED ADV PART 2A BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts2,496
AUM (Assets Under Management)$ 1,061,462,332

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

PAUL R. RIED FINANCIAL GROUP, LLC

CRD#: 297284

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