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CB

Carol C. Beattie

STANCORP EQUITIES
Portland, OR 97204
Some features on this profile are disabled
CRD#: 6916796
CB

Professional summary

Carol C Beattie, who also goes by Carol Beattie, is a registered financial professional currently at STANCORP EQUITIES, INC. located in Portland, Oregon.

Carol is registered as a RR (Registered Representative) and started their career in finance in 2018. Carol has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carol Beattie

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 Carol C Beattie'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

August 26, 2022 - Present

STANCORP EQUITIES, INC.

Office #1: 1100 Sw 6th Avenue, Portland, OR 97204
BD
CRD#: 19517
Portland, OR
Past

October 19, 2018 - October 6, 2021

ASCENSUS BROKER DEALER SERVICES, LLC

BD
CRD#: 36478
Dresher, PA
Past

April 24, 2018 - October 19, 2018

ASCENSUS FINANCIAL SERVICES, LLC.

BD
CRD#: 147257
DRESHER, PA

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
Pennsylvania
(8/26/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2018
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 6
Date: 4/24/2018
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SE
STANCORP EQUITIES, INC.
STANCORP EQUITIES, INC. | STANWEST EQUITIES, INC. | STANDARD EQUITIES, INC.

CRD#: 19517 / SEC#: , 8-37563

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

Main Address
1100 Sw Sixth Avenue, Portland, OR 97204-1093
Mailing Address
900 Sw 5th Avenue, C22, Portland, OR 97204-1093
Phone number
(971) 321-8830
Established
Oregon since 10/02/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STANCORP FINANCIAL GROUP, INC.OWNER OF STANCORP EQUITIES, INC.
BURLIE, JASON MATTHEWPRESIDENT4072452
HUANG, JAMES PEI-YUENSECRETARY4020305
LIM, CHARLESCHIEF COMPLIANCE OFFICER5039063
MARTIN, SHANNON MICHELLE2ND VICE PRESIDENT AND ASSISTANT CONTROLLER7616238
PAGLIARULO, DAVID CTREASURER, FINOP6883045

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

STANCORP EQUITIES, INC.

CRD#: 19517Portland, OR 97204

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