AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DB

Duy R. Beck

ERG SECURITIES (US) LLC
Norwalk, CT 06854
Some features on this profile are disabled
CRD#: 5178623
DB

Professional summary

Duy Robert Beck, who also goes by Duy Robert Beck, Duy Beck, is a registered financial professional currently at ERG SECURITIES (US) LLC located in Norwalk, Connecticut.

Duy is registered as a RR (Registered Representative) and started their career in finance in 2007. Duy has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Duy Robert Beck | Duy Beck

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 Duy Robert Beck'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®
None

Experience

Current

December 16, 2025 - Present

ERG SECURITIES (US) LLC

Office #1: 50 Washington Street Suite 921, Norwalk, CT 06854
BD
CRD#: 121057
Norwalk, CT
Past

March 28, 2018 - November 15, 2024

MID-MARKET SECURITIES, LLC

BD
CRD#: 126750
MOUNT KISCO, NY
Past

February 10, 2016 - November 6, 2017

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
SALT LAKE CITY, UT
Past

August 9, 2013 - January 31, 2014

INTEGRITY ALLIANCE, LLC.

BD
CRD#: 139627
SALT LAKE CITY, UT
Past

July 29, 2013 - January 31, 2014

INTEGRITY ALLIANCE, LLC.

RIA
CRD#: 139627
SALT LAKE CITY, UT
Past

November 26, 2008 - August 1, 2011

OSAIC WEALTH, INC.

RIA
CRD#: 23131
SALT LAKE CITY, UT
Past

July 11, 2008 - August 1, 2011

OSAIC WEALTH, INC.

BD
CRD#: 23131
SALT LAKE CITY, UT
Past

July 10, 2007 - May 3, 2008

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SALT LAKE CITY, UT

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
California
(12/16/2025)
RR
Colorado
(12/16/2025)
RR
Connecticut
(12/16/2025)
RR
New York
(12/16/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/22/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/16/2025
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/9/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
ERG SECURITIES (US) LLC
ASPERION GROUP LLC | ERG SECURITIES (US) LLC

CRD#: 121057 / SEC#: , 8-65376

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
50 Washington Street Suite 921, Norwalk, CT 06854
Mailing Address
50 Washington Street Suite 921, Norwalk, CT 06854
Phone number
(646) 571-0173
Established
Delaware since 04/26/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ERG CAPITAL PARTNERS, LLCOWNER, MEMBER
GOODMAN, ROBERT MCCO, PRINCIPAL, CEO, AML OFFICER2246972
O'DOWD, GEORGE MARKPRINCIPAL2219430
RYAN, KIMBERLY ANNFINOP, PFO, POO4316310

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

ERG SECURITIES (US) LLC

CRD#: 121057Norwalk, CT 06854

TRUST BUT VERIFY

Monitor Duy Beck

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.