Duy R. Beck
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.
Duy Robert Beck, who also goes by Duy Robert Beck, Duy Beck, was a registered financial professional .
Duy is a previously registered financial professional and started their career in finance in 2007. Duy had worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2025 - May 6, 2026
ERG SECURITIES (US) LLC
March 28, 2018 - November 15, 2024
MID-MARKET SECURITIES, LLC
February 10, 2016 - November 6, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
August 9, 2013 - January 31, 2014
INTEGRITY ALLIANCE, LLC.
July 29, 2013 - January 31, 2014
INTEGRITY ALLIANCE, LLC.
November 26, 2008 - August 1, 2011
OSAIC WEALTH, INC.
July 11, 2008 - August 1, 2011
OSAIC WEALTH, INC.
July 10, 2007 - May 3, 2008
SECURITIES AMERICA, 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 6TO
Date: 12/16/2025
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ERG SECURITIES (US) LLC
CRD#: 121057 / SEC#: , 8-65376
Contact information
FINRA licenses (16 States and Territories)
Documents
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.
