Beck Financial Strategies

CONNECT

Address:

5825 North Post Road
Indianapolis, IN 46216

Phone:

317-547-1200

Fax/Other:

317-547-1201

ADV Part 2B Brochure Supplement

Part 2B of Form ADV:

Brochure Supplement

May 10, 2017

 

Item 1     Cover Page

This brochure supplement provides information about Nancy L. Beck that supplements J.W. Cole Advisors, Inc.’s ("J.W. Cole Advisors") brochure (Form ADV, Part 2A and/or Appendix 1.) You should have received a copy of J.W. Cole Advisors’ brochure. Please contact J.W. Cole Advisors’ Advisory Services Team at (813) 935-6776 if you did not receive J.W. Cole Advisors’ brochure or if you have any questions about the contents of this supplement.

 

Nancy L. Beck

5825 N Post Road

Indianapolis, IN 46216

Telephone number: 317-547-1200

 

Item 2     Educational Background and Business Experience

Nancy L. Beck was born in 1960 and graduated from North Central High School in 1979. After high school she attended Indiana University and completed coursework in Business, but did not receive a degree.

Business Experience

• Cuna Mutual Life Insurance; Agent; from 09/01/1982 to 03/01/1995

• One America (American United Life); Agent; from 03/01/1995 to Present

• Beck Financial Strategies; Investment Advisory Representative; from 07/18/1995 to Present

• Ms. Beck has been a Registered Representative with J.W. Cole Financial, Inc. since 2015 and an Investment Advisor Representative of J.W. Cole Advisors since 2015. Ms. Beck has successfully passed three securities registration examinations: Series 6, 7, and 63. To maintain these registrations, Ms. Beck completes a FINRA continuing education course every three years and J.W. Cole Advisors’ continuing education courses each year.

• Ms. Beck obtained the Certified Financial Planner ("CFP") professional designation from the Certified Financial Planner Board of Standards in 1993. To earn this designation, Ms. Beck completed the financial planning education requirements in six major planning areas set by the CFP Board and successfully completed the 10-hour CFP Certification Exam and the Candidate Fitness Standards and background check. To maintain this designation, Ms. Beck completes no less than 30 hours of continuing education every two years. Prerequisites for the CFP designation include a Bachelor’s degree from an accredited college or university and three years of qualified work experience.

 

Item 3     Disciplinary Information

Investment Advisor Representatives are required to disclose all material facts regarding any legal or disciplinary events that would be material in your evaluation. Currently, Ms. Beck has no information applicable to this requirement.

For more information about Ms. Beck, please visit FINRA’s Broker Check at www.finra.org/brokercheck and/or the SEC’s Investment Advisor Search at www.adviserinfo.sec.gov.

 

Item 4     Other Business Activities

In addition to offering investment advisory services as an Investment Advisor Representative of J.W. Cole Advisors (a Registered Investment Adviser), Ms. Beck is also a Registered Representative of J.W. Cole Advisors’ broker-dealer, J.W. Cole Financial, Inc. ("JW Cole"), member FINRA/SIPC, and an independent insurance agent appointed with a variety of insurance companies. As a dually registered investment professional and licensed insurance agent, Ms. Beck has the ability to be compensated for her services and recommendations via commission as a Registered Representative of J.W. Cole Financial, Inc., commission as an insurance agent, fee as an Investment Advisor Representative of J.W. Cole Advisors, or a combination of the three. In certain circumstances, Ms. Beck may be offered commissions, bonuses, distribution or service fees (trails), incentive-based non-cash compensation, or other compensation based on the sale of securities, insurance products, and other investment products. Such compensation arrangements may create a conflict of interest by incentivizing Ms. Beck to recommend certain products and services. However, as an Investment Advisor Representative, Ms. Beck embraces the core value of maintaining a fiduciary standard. This fiduciary standard simply means that Ms. Beck’s actions for her clients should be performed with total trust, good faith, and honesty. Furthermore, the actions of Ms. Beck, as a fiduciary, are performed in the best interest of the client. Ms. Beck performs these investment-related activities under the assumed or trade name of Beck Financial Strategies. Beck Financial Strategies is not affiliated with J.W. Cole Advisors.

Nancy Beck is the owner of Beck Post Road Properties, LLC (her business office) and a second home in Key West, Florida from which she may receive passive rental income.

Nancy Beck is an artist and the owner and Sole Proprietor of Nancy Beck Fine Art, where she sells original artwork and receives commissions for specific art projects. These activities are non-investment related and are done on personal time and not during normal business hours.

 

Item 5     Additional Compensation

Ms. Beck may receive additional incentive-based compensation in connection with her recommendations, attendance at conferences, seminars, sales or training programs, and other trips (such as reimbursement for travel, lodging and meal expenses) and/or in the form of entertainment, merchandise and other benefits for providing advisory services.

 

Item 6     Supervision

Nancy L. Beck is currently supervised by Todd Pack of J.W. Cole Advisors. Todd Pack or a member of the compliance department may be reached at 813-935-6776. J.W. Cole Advisors supervises the activities of the representative through on-site visits conducted by a designated and qualified professional. In addition, Todd Pack or a qualified designee supervises e-mail communication and other activities that require such supervision and or approval. Lastly, J.W. Cole Advisors utilizes various audit and monitoring/surveillance mechanisms to oversee the advisory activities of Nancy L. Beck.

Check the background of this financial professional on FINRA's BrokerCheck
Check the background of this financial professional on FINRA's BrokerCheck