Amelia H. Beattie
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.
Amelia Hardwick Beattie, who also goes by Amy Beattie, Amelia Hardwick, was a registered financial professional .
Amelia is a previously registered financial professional and started their career in finance in 1980. Amelia had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2020 - May 27, 2020
SORRENTO PACIFIC FINANCIAL, LLC
February 4, 2020 - May 27, 2020
CUSO FINANCIAL SERVICES, L.P.
February 3, 2020 - May 27, 2020
SORRENTO PACIFIC FINANCIAL, LLC
February 3, 2020 - May 27, 2020
CUSO FINANCIAL SERVICES, L.P.
December 14, 2004 - January 31, 2020
SORRENTO PACIFIC FINANCIAL, LLC
October 10, 2003 - January 31, 2020
SORRENTO PACIFIC FINANCIAL, LLC
May 12, 1999 - November 6, 2001
COINBASE CAPITAL MARKETS CORP
July 8, 1997 - January 31, 2020
CUSO FINANCIAL SERVICES, L.P.
March 25, 1997 - January 31, 2020
CUSO FINANCIAL SERVICES, L.P.
April 19, 1994 - August 18, 1995
FIRST INTERSTATE INVESTMENTS,INC.
November 19, 1991 - July 1, 1992
KAVANAUGH SECURITIES, INC.
September 13, 1982 - August 1, 1983
THE ROBINSON-HUMPHREY COMPANY, LLC
July 24, 1980 - November 21, 1991
LPL FINANCIAL LLC
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
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
