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EB

Emily R. Begeman

Some features on this profile are disabled
CRD#: 6419947
EB

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.

Emily Rose Begeman, CFP®, who also goes by Emily Rose Begeman, was a registered financial professional .

Emily is a previously registered financial professional and started their career in finance in 2015. Emily had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Emily Rose Begeman

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®
CFP®

Certified Financial Planner

Experience

Past

June 3, 2025 - February 17, 2026

AW SECURITIES

BD
CRD#: 103747
Indianapolis, IN
Past

May 30, 2025 - February 17, 2026

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
INDIANAPOLIS, IN
Past

May 7, 2024 - September 12, 2025

SHEAFF BROCK INVESTMENT ADVISORS, LLC

RIA
CRD#: 118739
INDIANAPOLIS, IN
Past

November 19, 2018 - May 14, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
INDIANAPOLIS, IN
Past

July 18, 2017 - March 11, 2020

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Indianapolis, IN
Past

November 7, 2016 - November 13, 2017

OPTIONSXPRESS, INC.

BD
CRD#: 103849
INDIANAPOLIS, IN
Past

May 19, 2015 - May 14, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Indianapolis, IN

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: 7/17/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/22/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/9/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/20/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/10/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/21/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

AS
AW SECURITIES
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN

CRD#: 103747 / SEC#: 801-69038, 8-52250

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Phone number
(916) 482-2196
Established
Delaware since 10/26/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
10

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

NamePositionCRD#
ALLWORTH FINANCIAL GROUP, L.P.GENERAL PARTNER
BEATON, DANIEL STEWARTFINOP4240769
ERICKSON, RICHARD JOHNDIRECTOR OF INVESTMENT OPERATIONS2704674
FRIZE, BERNARD JOSEPH JRCHIEF COMPLIANCE OFFICER - BD2366022
GAMBLE, COREY CCHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO4919573
GREENBERG, BARRY YALECHIEF LEGAL COUNSEL5863733
GRIGSBY, GARY LAWSONCEO3167632

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

AW SECURITIES

CRD#: 103747

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