AB
Arnold T. Beck
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CRD#: 727381
AB
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.
Arnold Thomas Beck JR, AIF®, who also goes by Arnie Beck Jr, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1981. Arnold had worked at 13 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Arnie Beck Jr
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.
***FINANCIAL MANAGEMENT ASSOCIATES, LLC POSITION: ADVISOR NATURE: BUSINESS NAME: FINANCIAL MANAGEMENT ASSOCIATES, LLC, TITLE: PRESIDENT, BUSINESS NATURE: CONDUCT FIDUCIARY ASSESSMENTS FOR RETIREMENT PLANS. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 6 START DATE: 12/01/2011 ADDRESS: 2600 BIDWELL ST., STE 140, FOLSOM CA 95630, United States DESCRIPTION: ADVISORY INVESTMENT MANAGEMNT OF INVESTMENTS. ACT AS AFIDUCIARY ADVISOR ***FINANCIAL MANAGEMENT ASSOCIATES, LLC POSITION: PRESIDENT NATURE: TAX PREPARATION AND PLANNING, ESTATE PLANNING INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 04/01/1980 ADDRESS: 2600 E. BIDWELL ST., STE 140, FOLSOM CA 95630, United States DESCRIPTION: TAX PREPARATION AND PLANNING, ESTATE PLANNING ***FINANCIAL MANAGEMENT ASSOCIATES, LLC POSITION: PRESIDENT NATURE: INSURANCE SALES INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 04/01/1980 ADDRESS: 2600 E. BIDWELL ST., STE 140, FOLSOM CA 95630, United States DESCRIPTION: ONLY IF USING EQUITY INDEXED ANNUITIES ***FINANCIAL MANAGEMENT ASSOCIATES, LLC POSITION: PRESIDENT NATURE: CONDUCT FIDUCIARY ASSESSMENTS FOR RETIREMENT PLANS INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 09/01/2008 ADDRESS: 2600 E. BIDWELL ST., STE 140, FOLSOM CA 95630, United States DESCRIPTION: WHEN PERFORMING A RETIREMENT PLAN ASSESSMENT THE INVESTMENT PLATFORM IS REVIEWED AND SUGGESTED INVESTMENT OPTIONS MAY BE PROVIDED FOR MORE EFFICIENT AND EFFECTIVE COST AND PERFORMANCE
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®
Experience
Past
December 6, 2011 - July 20, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
FOLSOM, CA
Past
December 6, 2011 - July 20, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
FOLSOM, CA
Past
April 2, 2009 - December 8, 2011
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
FOLSOM, CA
Past
March 31, 2009 - December 8, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
FOLSOM, CA
Past
August 13, 2008 - April 2, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
FOLSOM, CA
Past
August 13, 2008 - April 2, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FOLSOM, CA
Past
December 27, 2001 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
RIA
CRD#: 14068
FOLSOM, CA
Past
October 25, 1999 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
FOLSOM, CA
Past
March 30, 1999 - October 22, 1999
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
October 17, 1997 - March 10, 1999
LINCOLN INVESTMENT
BD
CRD#: 519
FORT WASHINGTON, PA
Past
April 4, 1996 - October 23, 1997
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
May 22, 1992 - April 4, 1996
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
SANTA CLARA, CA
Past
April 9, 1992 - April 22, 1992
WEALTH RESOURCE CAPITAL CORPORATION
BD
CRD#: 10367
NEWPORT BEACH, CA
Past
August 12, 1991 - March 23, 1992
WEALTH RESOURCE CAPITAL CORPORATION
BD
CRD#: 10367
NEWPORT BEACH, CA
Past
January 22, 1991 - September 24, 1991
OAK TREE SECURITIES, INC.
BD
CRD#: 18126
LIVERMORE, CA
Past
March 30, 1990 - December 31, 1990
E.F. DALY FINANCIAL GROUP
BD
CRD#: 20434
Past
April 10, 1985 - February 8, 1990
BOARDWALK CAPITAL CORPORATION
BD
CRD#: 10279
Past
March 23, 1981 - January 24, 1985
PLANNED INVESTMENTS INC.
BD
CRD#: 5066
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
SA
SECURITIES AMERICA ADVISORS, INC.
1865 WEALTH ADVISORS AT BANK ON BUFFALO | BREITENFELDT GROUP | BREIDENBAUGH FINANCIAL | BRECEK AND YOUNG FINANCIAL SERVICES | BRASS CITY FINANCIAL | BRANCH DEVELOPMENT PARTNERS | BRADY INVESTMENTS & WEALTH PLANNING | BRADY FINANCIAL | BRADFORD INVESTMENT SERVICES | BRADFORD CAPITAL GROUP | BRADEN FINANCIAL SERVICES | BRAD WERNER & COMPANY | BPA FINANCIAL ADVISORS | BOZEMAN FINANCIAL ADVISORS | BOOTH FINANCIAL GROUP | BONGIOVANNI INSURANCE & FINANCIAL | BOND FINANCIAL NETWORK | BOLIVAR INVESTMENT SERVICES | BLUEMARK ADVISORS | BLUE CHIP FINANCIAL GROUP | BLUE CHIP FINANCIAL | BLOSSER FINANCIAL SERVICES | BLOOMFIELD HILLS ADVISORY | BLANCHARD WEALTH SOLUTIONS | BLAKENEY FINANCIAL GROUP | BLAKEMAN BRISTER PUTMAN FINANCIAL GROUP | BLADE FINANCIAL SERVICES | BLACKHAWK FINANCIAL ADVISORS, INC. | BLACK RIVER ASSOCIATES | BLACK OAK INVESTMENT COUNSEL, INC. | BLACK EARTH WEALTH MANAGEMENT | BJURSTROM WEALTH MANAGEMENT | BIXBY FINANCIAL SERVICES | BISON WEALTH STRATEGIES | BIRDS EYE WEALTH PLANNING | BIGSKY FINANCIAL PLANNING GROUP | BIGMAN CONSULTING SERVICES | BIG SKY FINANCIAL PLANNING GROUP | BIG SKY FINANCIAL | BIERMAIER FINANCIAL MANAGEMENT | BHL FINANCIAL SERVICES | BG&CFS, P | BETHEA, ANGST AND HICKS WEALTH MANAGEMNT | BETHEA, ANGST & HICKS | BETCHER FINANCIAL GROUP | BERRIN MANAGEMENT GROUP | BERNARDY FINANCIAL GROUP | BENSON FINANCIAL SERVICES | BENSON FINANCIAL GROUP | BENEFITS WEST | BEN CAIN & ASSOCIATES | BEAU MCNICHOLAS | BEARD FINANCIAL GROUP | BEACONPATH WEALTH MANAGEMENT | BEACH HOUSE WEALTH MANAGEMENT | BDM FINANCIAL ADVISORS | BCA FINANCIAL SERVICES | BC&I WEALTH MANAGEMENT | BAYSIDE FINANCIAL STRATEGIES | BAYPORT FINANCIAL | BAY VIEW CAPITAL | BAY POINTE WEALTH MANAGEMENT | BAY INVESTMENT GROUP | BARTLER WEALTH MANAGEMENT GROUP | BARONE FINANCIAL GROUP | BARNEY FINANCIAL SERVICES | BARKER FINANCIAL SERVICES | BARE WEALTH ADVISORS | BARBER FINANCIAL CO | BANKS WEALTH MANAGEMENT | BANK ON BUFFALO INVESTMENT ADVISORS | BALL WEALTH MANAGMENT | BALANCED WEALTH MANAGEMENT | BAILLIE & ASSOC WEALTH MANAGEMENT | BAILEY FINANCIAL SERVICES | BACKCOUNTRY INSURANCE SERVICES | AZEVEDO INVESTMENT CORPORATION | AXION FINANCIAL GROUP | AVH INVEST | AUGUSTINE FINANCIAL GROUP | ASTUTE WEALTH MANAGEMENT | ASTRA INVESTMENT SERVICES | ASSOCIATED INVESTOR SERVICES, INC. | ASSOCIATED FINANCIAL CONSULTANTS INC | ASSOCIATED FINANCIAL CONSULTANTS & INVES | ARMSTRONG ADVISORY GROUP | ARMSTRONG ADVISORY | ARKTOS WEALTH MANAGEMENT | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | ANTHONY GIULIANO | ANN M. MOROCCO | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON WEALTH PLANNING | AMS FINANCIAL GROUP | AMERIWEALTH RETIREMENT SERVICES | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN NATIONAL BANK WEALTH MANAGEMENT | AMANDA M. BONOMI, E.A., CFP | ALTSTATT FINANCIAL STRATEGIES | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPHA ONE | ALPHA FINANCIAL SERVICES | ALPHA & OMEGA FINANCIAL SOLUTIONS | ALLLISON WEALTH MANAGMENT | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLAIRE FINANCIAL STRATEGIES | ALL IN FINANCIAL | AGRIFAMILY FINANCIAL SOLUTIONS | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AFR FINANCIAL GROUP | AFR FINANCIAL | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCE FINANCIAL GROUP | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ACERRA & ASSOCIATES | ACCENTRA INVESTMENT SERVICES | ACACIA WEALTH MANAGEMENT | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. KRANITZ ASSOCIATES | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 3G FINANCIAL | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 20/20 WEALTH ADVISORS | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STRATEGIC WEALTH ADVISORS | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BAN...
CRD#: 110518 / SEC#: 801-45628
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Contact information
Main Address
12325 Port Grace Blvd., La Vista, NE 68128-8204
Mailing Address
P.o. Box 460001, Papillion, NE 68046
Phone number
(402) 399-9111
Established
Firm type
Fiscal year end
# of Employees
4,468
Regulatory assets under management
| Total Number of Accounts | 211,150 |
| AUM (Assets Under Management) | $ 40,420,443,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
