VB
Vicki L. Beam
J. W. COLE ADVISORS
TRAVERSE CITY, MI 49686
Some features on this profile are disabled
CRD#: 4367996
VB
Professional summary
Vicki Lee Beam, who also goes by VIcki Lee Falting, Vicki Lee Koehn, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Traverse City, Michigan and J.W. COLE FINANCIAL, INC. located in Traverse City, Michigan.
Vicki is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Vicki has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vicki Lee Falting | Vicki Lee Koehn
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) A) MICHIGAN COLLEGE PLANNING, LLC. B) NOT INVESTMENT RELATED C) 601 S. GARFIELD AVENUE, SUITE B, TRAVERSE CITY, MI 49686 D) COLLEGE PLANNING ASSISTANCE E) MEMBER F) MARCH 2012 G) 40 HRS/MONTH H) 20 DURING TRADING I) HELP CLIENTS AND PROSPECTS LOOK INTO COSTS, SCHOOLS, AND DEGREES FOR COLLEGE HELP J) NOT AN OFFICER K) CLIENTS INVOLVED (2) A) FORTITUDE WEALTH PLANNERS, LLC. B) INVESTMENT RELATED C) 601 S. GARFIELD AVENUE, SUITE B, TRAVERSE CITY, MI 49686 D) FIXED INSURANCE E) AGENT F) AUGUST 2006 G) 20 HRS/MONTH H) 20 DURING TRADING HRS I) SALES AND SERVICE J) OFFICER K) CLIENTS INVOLVED (3) RENTAL HOME ON AIRBNB AND VRBO - 6847 Baggs Road NW, Williamsburg, MI - 6/15/18 - 1 HR PER MONTH OUTSIDE OF TRADING HOURS - NON-INVESTMENT RELATED (4) Beam Properties, LLC; not investment related; managing member - start date 1/1/2020; 7327 Crisp Road Williamsburg MI 49690; entity owns rental property; 0 hours per month. (5) Atlantic Sun Financial Group; DBA; Investment related; 4075 County Road 106, Oxford, FL 34484; Financial Services; Financial Advisor; Start 5/15/2023; 80 hrs/mo, (6) Keep Whitewater Rural, LLC; 6847 Baggs Road NW, Williamsburg, MI; Not investment related; President; We formed a group to meet and keep our township board on tasks to enforce the Master Plan - Keep Whitewater Township Rural; Start 9/18/23; 1 hour/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Vicki Lee Beam'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
August 24, 2011 - Present
J. W. COLE ADVISORS, INC.
Office #1: 601 S. Garfield Avenue Suite B, Traverse City, MI 49686Office #2: 4075 County Road 106, Oxford, FL 34484RIA
CRD#: 112294
TRAVERSE CITY, MI
Current
August 17, 2011 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 601 S. Garfield Avenue Suite B, Traverse City, MI 49686BD
CRD#: 124583
TRAVERSE CITY, MI
Past
January 12, 2010 - December 31, 2010
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
TRAVERSE CITY, MI
Past
January 11, 2010 - August 17, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
TRAVERSE CITY, MI
Past
August 15, 2008 - February 11, 2010
ASKAR CORP.
BD
CRD#: 7512
TRAVERSE CITY, MI
Past
April 12, 2007 - August 15, 2008
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
TRAVERSE CITY, MI
Past
August 23, 2006 - August 15, 2008
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
TRAVERSE CITY, MI
Past
June 14, 2002 - August 29, 2006
WADDELL & REED
RIA
CRD#: 866
TRAVERSE CITY, MI
Past
March 26, 2001 - August 29, 2006
WADDELL & REED
BD
CRD#: 866
TRAVERSE CITY, MI
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)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
RR
Alabama(4/19/2023)
RR
Arizona(4/19/2023)
RR
California(8/17/2011)
RR
Colorado(1/2/2013)
RR
Delaware(4/19/2023)
RR
Florida(8/17/2011)
IAR
Florida(4/25/2023)
RR
Georgia(4/19/2023)
RR
Kentucky(4/19/2023)
RR
Massachusetts(4/19/2023)
RR
Michigan(8/17/2011)
IAR
Michigan(8/24/2011)
RR
Nevada(4/19/2023)
RR
New Jersey(4/19/2023)
RR
New Mexico(9/19/2011)
RR
New York(4/19/2023)
RR
North Carolina(4/19/2023)
RR
Ohio(4/19/2023)
RR
Oklahoma(4/19/2023)
RR
Pennsylvania(4/19/2023)
RR
South Carolina(1/16/2013)
RR
Vermont(4/19/2023)
RR
Virginia(9/10/2014)
RR
Washington(4/19/2023)
RR
Wisconsin(3/18/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
