CB
Cason R. Beatty
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CRD#: 6975397
CB
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.
Cason Rich Beatty, who also goes by Cason Rich Beatty, was a registered financial professional .
Cason is a previously registered financial professional and started their career in finance in 2018. Cason had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cason Rich Beatty
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.
(1)Name of Business: FFG Partners, LLC DBA Fiori Financial Group | Business Address: 205 SE 20th Street, Fort Lauderdale, FL 33316 | Activity Type: RIA | Position/Title: Investment Adviser Rep | Investment Related: Yes | Start Date: 01/2023 | Hours per month devoted to this business: 160 Hours per month |Hours devoted to this business during trading hours: 160 hours per month | Description of duties: Investment Adviser Representative. (2)Name of Business: Non-variable Insurance | Address: 205 SE 20th St, Fort Lauderdale, FL 33316, USA | Activity Type: Submitting non-variable life sales | Position/Title: Insurance Agent | Investment Related: Yes | Start Date: 07/2018 | Hours per month devoted to this business: 2-10 Hours per month devoted to this business | Hours during trading hours: 2-10 | Description of duties: Sales of non-variable insurance with individual clients. (3)Name of Business: 5 Oaks Advisors, LLC | Business Address: 205 SE 20th St, Fort Lauderdale, FL 33316, USA | Activity Type: (Support Company) | Position/Title: Owner/Proprietor | Investment Related: No | Start Date: 02/2023 | Hours per month devoted to this business: 0-1 | Hours per month devoted to this business during trading hours: 0-1 | Description of duties: I am the only member of this company and have no day to day duties. This company is a support company and was created for tax purposes. (4)Name of Business: GCal Doak, LLC | Business Address: 205 SE 20th Street, FL 33316| Activity Type: Investment Holding Company | Position/Title: Owner| Investment Related: Yes | Start Date: 04/2023 | Hours per month devoted to this business: 1-10 | Hours per month devoted to this business during trading hours: 1-10 | Description of duties: This is an Investment holding company created to purchase passive investments. (5)Name of Business: GC Doak, LLC | Business Address: 205 SE 20th Street, FL 33316| Activity Type: Investment Holding Company | Position/Title: Owner| Investment Related: Yes | Start Date: 09/2022 | Hours per month devoted to this business: 1-10 | Hours per month devoted to this business during trading hours: 1-10 | Description of duties: This is an Investment holding company created to purchase passive investments.
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®
NoneExperience
Past
January 19, 2023 - October 6, 2023
FIORI FINANCIAL GROUP
RIA
CRD#: 318641
FORT LAUDERDALE, FL
Past
October 18, 2018 - January 6, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Boca Raton, FL
Past
September 12, 2018 - January 6, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Boca Raton, FL
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".
FF
FIORI FINANCIAL GROUP
FFG PARTNERS, LLC | FIORI FINANCIAL GROUP, INC. | FIORI FINANCIAL GROUP
CRD#: 318641 / SEC#: 801-127015
RIA
Registered Investment Advisory firm - (12/8/2022 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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FF
FIORI FINANCIAL GROUP
FFG PARTNERS, LLC | FIORI FINANCIAL GROUP, INC. | FIORI FINANCIAL GROUP
CRD#: 318641 / SEC#: 801-127015
RIA
Registered Investment Advisory firm - (12/8/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
205 South East 20th St, Fort Lauderdale, FL 33316
Mailing Address
Phone number
(954) 763-2600
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 660 |
| AUM (Assets Under Management) | $ 476,671,565 |
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.
