William G. Beach
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.
William Gardner Beach, who also goes by Toby Beach, William G Beach, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1978. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2002 - July 1, 2020
NEXT FINANCIAL GROUP, INC.
January 2, 2001 - July 1, 2020
NEXT FINANCIAL GROUP, INC.
January 1, 1999 - November 22, 2004
WELLINGTON CONSULTING SERVICES INC
March 7, 1995 - December 31, 2000
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
January 30, 1995 - February 21, 1995
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
December 12, 1989 - February 28, 1995
MERIDIAN, DUNHILL & CO., INC.
November 19, 1989 - December 19, 1989
OSAIC WEALTH, INC.
July 7, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 2, 1982 - July 11, 1987
THOMSON MCKINNON SECURITIES INC.
October 16, 1978 - March 8, 1982
DERAND/PENNINGTON/BASS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/24/1978
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
