Cary L. Beach

SVB WEALTH

Canal Winchester, OH

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CRD#: 4445764

Professional summary

Cary Lee Beach, who also goes by Cary L. Beach, is a registered financial advisor currently at SVB WEALTH located in Canal Winchester, Ohio and FIRST CITIZENS ASSET MANAGEMENT, INC located in Canal Winchester, Ohio.

Cary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Cary has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cary L. Beach

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.

FCAM; 8540 Colonnade Center Dr Raleigh, NC 27615; FCAM is an affiliated IA Firm. I will be responsible for investment advisory meetings, working on policy and procedure updates, and filing of Form ADV, as well as other advisory related business activities, as required. 54 hours/month. SVB Wealth; 53 State St, Boston, MA 02109. SVB Wealth is an affiliated IA Firm. I will be responsible for investment advisory meetings, working on policy and procedure updates, and filing of Form ADV, as well as other advisory related business activities, as required. 54 hours/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary Lee 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

October 2, 2025 - Present

SVB WEALTH

RIA

CRD#: 172832

Canal Winchester, OH

Current

October 2, 2025 - Present

FIRST CITIZENS ASSET MANAGEMENT, INC

RIA

CRD#: 140777

Canal Winchester, OH

Current

October 2, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Canal Winchester, OH

Current

October 2, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Canal Winchester, OH

Past

October 4, 2013 - September 22, 2025

THE HUNTINGTON INVESTMENT COMPANY

RIA

CRD#: 16986

COLUMBUS, OH

Past

October 4, 2013 - September 22, 2025

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

September 3, 2012 - September 19, 2013

FRAGASSO FINANCIAL ADVISORS

RIA

CRD#: 123255

PITTSBURGH, PA

Past

March 16, 2012 - July 10, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

March 16, 2012 - July 10, 2013

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

February 17, 2005 - February 2, 2012

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

February 17, 2005 - February 2, 2012

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

August 26, 2003 - February 17, 2005

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

PLYMOUTH MEETING, PA

Past

September 9, 2002 - February 17, 2005

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

September 13, 2001 - June 12, 2002

DREYFUS INVESTMENT SERVICES COMPANY, LLC

CRD#: 17477

PITTSBURGH, PA

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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.

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

Ohio
(10/2/2025)

IAR

Ohio
(10/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/25/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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

Cary L. Beach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary Lee Beach's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

FRAGASSO FINANCIAL ADVISORS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

DREYFUS INVESTMENT SERVICES COMPANY, LLC

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2003

Series 63

Date: 11/30/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2001

Series 14

Date: 1/2/2023

Series 24

Date: 1/25/2008

FINRA

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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