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SB

Stacey M. Beach

ALTO SECURITIES
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 4414261
SB

Professional summary

Stacey Michelle Beach, who also goes by Stacey Michelle Cohen, is a registered financial professional currently at ALTO SECURITIES, LLC located in Nashville, Tennessee.

Stacey is registered as a RR (Registered Representative) and started their career in finance in 2001. Stacey has worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stacey Michelle Cohen

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) - BD

Click below to view Stacey Michelle Beach's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 20, 2025 - Present

ALTO SECURITIES, LLC

Office #1: 500 11th Avenue N Suite 790, Nashville, TN 37203
BD
CRD#: 318536
Nashville, TN
Past

November 9, 2021 - June 12, 2025

PERSHING LLC

BD
CRD#: 7560
Greenwood Village, CO
Past

July 13, 2018 - May 25, 2023

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
GREENWOOD VILLAGE, CO
Past

August 10, 2015 - June 8, 2018

MUTUAL OF AMERICA SECURITIES LLC

BD
CRD#: 27878
GREENWOOD VILLAGE, CO
Past

August 10, 2015 - June 8, 2018

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

BD
CRD#: 15356
GREENWOOD VILLAGE, CO
Past

September 2, 2011 - November 24, 2014

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
GREENWOOD VILLAGE, CO
Past

June 29, 2010 - August 24, 2011

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
DENVER, CO
Past

December 10, 2008 - July 10, 2009

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

March 11, 2008 - March 24, 2008

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
MALVERN, PA
Past

March 7, 2008 - March 20, 2008

LOCKWOOD FINANCIAL SERVICES, INC.

RIA
CRD#: 40655
MALVERN, PA
Past

June 20, 2007 - March 7, 2008

BNY ADVISORS

RIA
CRD#: 106108
MALVERN, PA
Past

December 15, 2003 - March 12, 2008

PERSHING LLC

BD
CRD#: 7560
MALVERN, PA
Past

March 11, 2003 - December 15, 2003

LOCKWOOD FINANCIAL SERVICES, INC.

BD
CRD#: 40655
MALVERN, PA
Past

August 7, 2001 - December 13, 2002

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA

State Registrations and Notice Filings

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

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
North Carolina
(6/20/2025)
RR
Tennessee
(6/20/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/19/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/14/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 8/1/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/3/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ALTO SECURITIES, LLC
ALTO SECURITIES, LLC

CRD#: 318536 / SEC#: , 8-70863

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Mailing Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Phone number
(917) 495-8074
Established
Delaware since 12/20/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALTO SOLUTIONS, INC.OWNER
FRAIOLI, BRIAN MICHAELCCO2792474
HARRIGAN, SCOTT MICHAELCHIEF EXECUTIVE OFFICER / MANAGER4399207
ROMERO, MONIQUE VICTORIAFINOP / PFO / POO

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

ALTO SECURITIES, LLC

CRD#: 318536Nashville, TN 37203

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