LB
Lisa D. Beaty
KEYSTONE PRIVATE WEALTH
Palm Desert, CA 92260
Some features on this profile are disabled
CRD#: 5018510
LB
Professional summary
Lisa Diane Beaty, who also goes by Lisa D. Beaty, Lisa Diane Northington, is a registered financial advisor currently at KEYSTONE PRIVATE WEALTH located in Palm Desert, California and PURSHE KAPLAN STERLING INVESTMENTS located in Palm Desert, California.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Lisa has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa D. Beaty | Lisa Diane Northington
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. Keystone Wealth Services DBA Keystone Private Wealth. Investment related. Located at 73575 El Paseo, Ste 2300, Palm Desert, CA 92260. Nature - RIA. Position - Senior Financial Planner. Start -7/2021. 100 hours per month, 80 hours during trading. Duties - Financial Planning/Asset management. 2. Capital CS Group. Investment related. Located at 15375 Barranca Pkwy, g110, Irvine, CA 92618. Nature - Financial Planning. Position - Financial Planner. Start - 06/2020. 15 hours per month, 5 hours during trading. Duties - Financial Planning Presentations. 3. C2 Independence, LLC. Investment Related. 57862 Santa Rosa Trail, La Quinta, CA 92253. Consulting, Financial Planning, Manager/member. Start 5/2018. 80 hours per month, 20 hours during trading hours. Duties - Financial Planning and Consulting. 4. Core Income. Investment related. Located at 5940 Golden Hills Drive, Minneapolis, MN 55416. Nature - Insurance. Position - Insurance Partner. Start 07/2021. 1 hour per month, 1 hour during trading hours. Duties - provide solutions to simple and complex insurance needs for clients. 5. The Blue Print Insurance, Fixed Insurance - Investment Related. Located at 73575 El Paseo, Ste 2300, Palm Desert, CA 92260. Nature - Fixed/ Traditional Insurance. Position - Agent. Start 03/2019. 1 hours per month, 1 hours during trading hours. Duties - sell Fixed / Traditional Insurance products. 6. Caress Insurance Agency, Inc; Not Investment Related; 79461 Bermuda Dunes Dr., Bermuda Dunes CA 92203; Medicare Insurance Supplemental Plans; Independent Insurance Professional; Start 08/20/21; 2 hrs/mo; 0 during trading. Provide options for supplemental medicare insurance coverage.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Diane Beaty'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
July 1, 2021 - Present
KEYSTONE PRIVATE WEALTH
Office #1: 73575 El Paseo Suite 2300, Palm Desert, CA 92260RIA
CRD#: 301924
Palm Desert, CA
Current
August 26, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 73575 El Paseo Ste. 2300, Palm Desert, CA 92260BD
CRD#: 35747
Palm Desert, CA
Past
July 18, 2017 - September 24, 2021
CYPRESS WEALTH SERVICES, LLC
RIA
CRD#: 288992
PALM DESERT, CA
Past
June 19, 2014 - March 1, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
PALM DESERT, CA
Past
June 1, 2009 - May 7, 2014
MORGAN STANLEY
RIA
CRD#: 149777
INDIAN WELLS, CA
Past
June 1, 2009 - May 7, 2014
MORGAN STANLEY
BD
CRD#: 149777
INDIAN WELLS, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PALM DESERT, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PALM DESERT, CA
Past
March 6, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PALM DESERT, CA
Past
January 16, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PALM DESERT, CA
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".
KP
KEYSTONE PRIVATE WEALTH
CYPRESS PRIVATE WEALTH | KEYSTONE WEALTH SERVICES, LLC | KEYSTONE PRIVATE WEALTH
CRD#: 301924 / SEC#: 801-121495
RIA
Registered Investment Advisory firm - (6/22/2021 Approved)California
Registered Investment Advisory firm - (7/25/2021 Terminated)Texas
Registered Investment Advisory firm - (6/25/2021 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
Alaska(8/26/2021)
RR
Arizona(8/26/2021)
IAR
California(7/1/2021)
RR
California(8/26/2021)
RR
Colorado(8/26/2021)
RR
Oregon(8/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KEYSTONE PRIVATE WEALTH
CYPRESS PRIVATE WEALTH | KEYSTONE WEALTH SERVICES, LLC | KEYSTONE PRIVATE WEALTH
CRD#: 301924 / SEC#: 801-121495
RIA
Registered Investment Advisory firm - (6/22/2021 Approved)California
Registered Investment Advisory firm - (7/25/2021 Terminated)Texas
Registered Investment Advisory firm - (6/25/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
73575 El Paseo Suite 2300, Palm Desert, CA 92260
Mailing Address
Phone number
(760) 818-7020
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,308 |
| AUM (Assets Under Management) | $ 692,123,348 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
