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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.

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RB

Robert B. Beane

Some features on this profile are disabled
CRD#: 5183037
RB

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.

Robert Brent Beane, who also goes by Brent Beane, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2006. Robert had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brent Beane

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 21, 2023 - May 30, 2024

TREK FINANCIAL

RIA
CRD#: 109376
Phoenix, AZ
Past

July 16, 2019 - May 24, 2023

HERITAGE WEALTH MANAGEMENT, LLC

RIA
CRD#: 287909
PHOENIX, AZ
Past

November 7, 2016 - June 6, 2019

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
Phoenix, AZ
Past

December 18, 2015 - October 19, 2016

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
Phoenix, AZ
Past

November 23, 2015 - June 6, 2019

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
Phoenix, AZ
Past

June 2, 2011 - September 4, 2012

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

April 10, 2008 - June 25, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
FORT WORTH, TX
Past

April 10, 2008 - May 31, 2011

TD AMERITRADE, INC.

RIA
CRD#: 7870
FORT WORTH, TX
Past

April 10, 2008 - May 31, 2011

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

September 21, 2006 - October 25, 2007

EDWARD JONES

RIA
CRD#: 250
DALLAS, TX
Past

August 30, 2006 - October 25, 2007

EDWARD JONES

BD
CRD#: 250
DALLAS, TX

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".
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.

CRD#: 109376 / SEC#: 801-58087

RIA
Registered Investment Advisory firm - (11/15/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/16/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/2015
General Securities Representative Examination

Current Firm

TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.

CRD#: 109376 / SEC#: 801-58087

RIA
Registered Investment Advisory firm - (11/15/2000 Approved)
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Contact information

Main Address
8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 483-1510
Established
Firm type
Fiscal year end
# of Employees
56

SEC notice filing (40 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TREK FINANCIAL 2A BROCHURE (10/28/2025)
TREK FINANCIAL WRAP BROCHURE (4/10/2025)

Regulatory assets under management

Total Number of Accounts11,057
AUM (Assets Under Management)$ 2,492,708,552

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

TREK FINANCIAL

CRD#: 109376

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