JB
John C. Beal
RAYMOND JAMES (USA) LTD.
Oakville, Ontario, L6J 1H8
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CRD#: 7579466
JB
Professional summary
John Charles Beal is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. John has worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) RAYMOND JAMES FINANCIAL PLANNING LTD ("RJFP") IS THE INSURANCE AND ESTATE PLANNING DIVISION OF RAYMOND JAMES LTD. RJFP DEALS WITH INSURANCE SOLUTIONS, WEALTH MANAGEMENT, TAX AND ESTATE PLANNING AND BUSINESS CONTINUITY. JOHN BEAL IS LOCATED AT 210 LAKESHORE RD EAST. UNIT 8, OAKVILLE, ONTARIO, L6J 1H8 AND HAS BEEN LICENSED WITH RJFP SINCE JUNE 30, 2021. HE IS A FULL-TIME AGENT. HE DEVOTES 20 HOURS A MONTH TO THIS BUSINESS. HIS JOB DUTIES INCLUDE LIFE INSURANCE SALES &/OR FINANCIAL PLANNING. 2) 3 KEYS WEALTH CORP. IS LOCATED AT 210 LAKESHORE RD EAST. UNIT 8, OAKVILLE, ONTARIO, L6J 1H8. THE COMPANY WAS FORMED TO OBTAIN A CORPORATE LIFE INSURANCE LICENCE FOR THE PURPOSE OF INSURANCE SALES (INSURANCE COMMISSIONS). JOHN BEAL IS THE SOLE OWNER OF THE COMPANY AND THE DESIGNATED INSURANCE AGENT FOR THE CORPORATE INSURANCE LICENCE. THE START DATE OF THE COMPANY IS MARCH 26, 2021. 3) Raymond James Ltd. ("RJL"), a registered investment dealer with CIRO, is the Canadian affiliate and parent company of Raymond James (USA) Ltd. The business is investment related. John is located at 8-210 Lakeshore Rd East, Oakville, ON, L6J 1H8 and has been employed since January 26, 2024. They are a full-time agent and their title with RJL is Portfolio Manager They devote 160 hours a month to this business during business and trading hours. Their job duties include sales and portfolio management services.
CRS (Client Relationship Summary) - RIA
Click below to view John Charles Beal'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®
NoneExperience
Current
January 29, 2024 - Present
RAYMOND JAMES (USA) LTD.
Office #1: 8-210 Lakeshore Rd East, Oakville, Ontario, L6J 1H8RIA
BD
CRD#: 25853
Oakville, Ontario,
Past
August 26, 2022 - January 26, 2024
RAYMOND JAMES INVESTMENT COUNSEL LTD.
RIA
CRD#: 128324
Oakville, Ontario,
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".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(1/29/2024)
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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.
