Delores J. Yezbak

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CRD#: 848268

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.

Delores Jean Yezbak, who also goes by Dee Dobrovich, Dee Keller, Delores J Keller, Delores Jean Keller, Delores Jean Keller-yezbak, Delores Jean Kellerdobrovich, was a registered financial professional .

Delores is a previously registered financial professional and started their career in finance in 1978. Delores had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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)

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®

None

Experience

Past

June 26, 2015 - February 19, 2020

BEACON FINANCIAL ADVISORY LLC

RIA

CRD#: 174334

CLEVELAND, OH

Past

December 11, 2012 - February 24, 2020

CAPITAL ANALYSTS

RIA

CRD#: 162200

CLEVELAND, OH

Past

June 1, 2012 - July 20, 2015

LINCOLN INVESTMENT

RIA

CRD#: 519

Cleveland, OH

Past

June 1, 2012 - February 24, 2020

LINCOLN INVESTMENT

CRD#: 519

Cleveland, OH

Past

April 29, 2010 - June 1, 2012

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

CLEVELAND, OH

Past

April 23, 2010 - June 1, 2012

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CLEVELAND, OH

Past

June 28, 2006 - May 21, 2010

SANDERS MORRIS LLC

RIA

CRD#: 20580

BEACHWOOD, OH

Past

December 5, 2005 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

FORT WORTH, TX

Past

December 1, 2005 - May 21, 2010

SANDERS MORRIS LLC

CRD#: 20580

BEACHWOOD, OH

Past

January 28, 2004 - December 13, 2005

RYAN BECK & CO.

RIA

CRD#: 3248

PEPPER PIKE, OH

Past

January 31, 2003 - December 13, 2005

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

April 11, 1997 - February 4, 2003

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

September 19, 1995 - April 11, 1997

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

January 18, 1993 - September 19, 1995

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

January 10, 1991 - January 21, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 19, 1980 - January 9, 1991

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

September 17, 1979 - July 13, 1980

LEHMAN BROTHERS INC.

CRD#: 7506

Past

March 1, 1979 - September 17, 1979

LOEB PARTNERS

CRD#: 7534

Past

August 14, 1978 - February 24, 1979

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

February 1, 1978 - August 14, 1978

PRESCOTT, BALL & TURBEN

CRD#: 7342

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".

BEACON FINANCIAL ADVISORY LLC

BEACON FINANCIAL ADVISORY LLC | TARTAN WEALTH MANAGEMENT | PISTONE WEALTH ADVISORS | FNA WEALTH MANAGEMENT LTD | BEACON FINANCIAL PARTNERS

CRD#: 174334 / SEC#: 801-108381

RIA

Registered Investment Advisory firm - (9/12/2016 Approved)

Ohio

Registered Investment Advisory firm - (9/14/2016 Terminated)

Texas

Registered Investment Advisory firm - (9/14/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/7/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/4/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/21/1978

General Securities Representative Examination

Current Firm

BEACON FINANCIAL ADVISORY LLC

BEACON FINANCIAL ADVISORY LLC | TARTAN WEALTH MANAGEMENT | PISTONE WEALTH ADVISORS | FNA WEALTH MANAGEMENT LTD | BEACON FINANCIAL PARTNERS

CRD#: 174334 / SEC#: 801-108381

RIA

Registered Investment Advisory firm - (9/12/2016 Approved)

Ohio

Registered Investment Advisory firm - (9/14/2016 Terminated)

Texas

Registered Investment Advisory firm - (9/14/2016 Terminated)

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Contact information

Main Address

25825 Science Park Drive Suite 110, Cleveland, OH 44122

Mailing Address

Phone number

(216) 910-1850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/7/2025)

WRAP FEE PROGRAM (3/7/2025)

Regulatory assets under management

Total Number of Accounts	2,083
AUM (Assets Under Management)	$ 677,635,130

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.

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Firm Stability Insights

Delores J. Yezbak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

SANDERS MORRIS LLC

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

RYAN BECK & CO.

RYAN BECK & CO.

LADENBURG THALMANN & CO. INC.

MESIROW FINANCIAL, INC.

RODMAN & RENSHAW INC.

MORGAN STANLEY DW INC.

FINANCIAL SQUARE PARTNERS

LEHMAN BROTHERS INC.

LOEB PARTNERS

PRESCOTT, BALL & TURBEN, INC.

PRESCOTT, BALL & TURBEN

Primary Firm SEC Registration

BEACON FINANCIAL ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2002

Series 63

Date: 2/28/1991

SIE

Date: 10/1/2018

Series 3

Date: 3/4/1992

Series 7

Date: 1/21/1978

Current Firm

BEACON FINANCIAL ADVISORY LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BEACON FINANCIAL ADVISORY LLC

TRUST BUT VERIFY

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