David D. 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.
David D Beck, who also goes by Dave Beck, David Beck, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2007. David had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - December 31, 2019
THE LEADERS GROUP, INC.
July 10, 2014 - January 12, 2015
OSAIC SERVICES, INC.
April 16, 2013 - March 26, 2014
EQUITABLE ADVISORS, LLC
March 13, 2012 - April 4, 2013
MML INVESTORS SERVICES, LLC
June 11, 2010 - February 23, 2012
PARK AVENUE SECURITIES LLC
September 17, 2008 - May 5, 2010
MML INVESTORS SERVICES, LLC
May 1, 2007 - July 1, 2008
NEW ENGLAND SECURITIES
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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
