Adam Beltran
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.
Adam Beltran, who also goes by Adam Isaac Beltran, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2012. Adam had worked at 5 firms and has passed the Series 66, SIE, Series 79 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
May 6, 2022 - July 10, 2024
CASCADIA CAPITAL, LLC
April 10, 2018 - May 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
August 11, 2017 - March 27, 2018
CAMDEN FINANCIAL SERVICES
October 28, 2015 - September 5, 2017
SGMA CAPITAL MARKETS LIMITED
December 14, 2012 - March 12, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2012 - March 12, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CASCADIA CAPITAL, LLC
CRD#: 101020 / SEC#: , 8-52064
Contact information
FINRA licenses (14 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
