Mr. Beaton serves as the Chief Financial Officer of the firm’s FINRA registered Broker Dealer. He has more than a eighteen years of experience as a professional in the securities industry.
Mr. Beaton has worked for a variety of broker dealers ranging from firms specializing in everything from municipal security underwriting, institutional equity trading, mergers and acquisitions, private placements and third party marketing.
He has extensive experience as a CFO, mastering the regulatory requirements imposed on broker dealers by the Securities and Exchange Commission. This has provided him vast knowledge of the regulatory requirements and security laws and rules broker dealers abide by.
He is the owner and operator of FINOP Consulting, a financial and operations principal outsourcing firm. Prior to this, he was a partner and CFO of Alpha Equity Research, an institutional equity research broker dealer.
Mr. Beaton graduated Magna Cum Laude from the University of New Hampshire, Whittemore School of Business with a degree in Accounting and Finance. He was a member of the Beta Gamma Sigma Society.
- Financial and Operations Principal (Series 27 and 28)
- Operations Professional (Series 99)
- General Securities Principal (Series 24)
- Registered Representative (Series 7 and 63).