Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Beam is a financial advisor with over 30 years of experience in the industry. Stephen has a broad range of experience having worked at several financial institutions including WRP Investments, Inc., Kovack Securities Inc., Linsco/Private Ledger Corp., Banc of America Investment Services, Inc., Quick & Reilly, Inc., FIS Securities, Inc., 440 Financial Distributors, Inc., and Putnam Mutual Funds Corp. Stephen is currently registered with Stonex Advisors Inc. in Massachusetts and other states. He holds Series 6, 7, 63, and 65 licenses. Stephen specializes in financial planning, portfolio management, and investment advisory services. Stephen is also the owner and Managing Director of Regency Financial Group, LLC, where he provides insurance and fixed annuity products to clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Financial consulting services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MA
01/30/2015 - Present
Stonex Advisors Inc. (Woburn MA)
MA
04/02/2008 - 09/12/2014
WRP INVESTMENTS, INC. (WOBURN MA)
MA
03/31/2006 - 04/02/2008
KOVACK SECURITIES INC. (WOBURN MA)
MA
12/13/2004 - 04/03/2006
LINSCO/PRIVATE LEDGER CORP. (WOBURN MA)
MA
10/20/2004 - 12/13/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
09/25/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
01/02/1996 - 09/25/2000
FIS SECURITIES, INC. (BOSTON MA)
ME
03/10/1994 - 12/31/1995
440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)
MA
06/15/1992 - 11/08/1993
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
IA
Issued 04/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1997
Series 7 - General Securities Representative Examination
BC
Issued 06/11/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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