Beck Financial Strategies, Inc.

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 JW Cole Advisors, Inc.’s ("JW Cole Advisors") brochure (Form ADV, Part 2A and/or Appendix 1.) You should have received a copy of JW Cole Advisors’ brochure. Please contact JW Cole Advisors’ Advisory Services Team at (813) 935-6776 if you did not receive JW 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, Inc.; Investment Advisory Representative; from07/18/1995 to Present

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

• Ms. Beck obtained the Certified Financial Planner ("CFP") professional designation from theCertified Financial Planner Board of Standards in 1993. To earn this designation, Ms. Beckcompleted the financial planning education requirements in six major planning areas set by theCFP Board and successfully completed the 10-hour CFP Certification Exam and the CandidateFitness Standards and background check. To maintain this designation, Ms. Beck completes noless than 30 hours of continuing education every two years. Prerequisites for the CFPdesignation include a Bachelor’s degree from an accredited college or university and threeyears 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 JW Cole Advisors (a Registered Investment Adviser), Ms. Beck is also a Registered Representative of JW 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 JW Cole Financial, Inc., commission as an insurance agent, fee as an Investment Advisor Representative of JW 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, Inc. Beck Financial Strategies, Inc. is not affiliated with JW 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 JW Cole Advisors. Todd Pack or a member of the compliance department may be reached at 813-935-6776. JW 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, JW Cole Advisors utilizes various audit and monitoring/surveillance mechanisms to oversee the advisory activities of Nancy L. Beck.

 


 

Part 2B of Form ADV:

Brochure Supplement

July 10, 2017

 

Item 1     Cover Page

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

 

Leeanne Lollar

5825 N Post Road

Indianapolis, IN 46216

Telephone number: 317-547-1200

 

Item 2     Educational Background and Business Experience

Full Legal Name: Leeanne M. Lollar Born: December of 1981

Education

  • Indiana University-Purdue University Indianapolis; BS, Business Management, Supply Chain Management; 2011

Business Experience

  • J.W. Cole Financial, Inc.; Registered Representative; 07/2017 to Present
  • JW Cole Advisors; Investment Adviser Representative; from 07/2017 to Present
  • Beck Financial Strategies; Registered Representative/Investment Adviser Representative; from 07/2017 to Present
  • VOYA Financial Advisors, Inc.; Registered Representative/Investment Adviser Representative; from 09/2014 to 07/2017
  • Promise Advisory Group; Registered Rep/Investment Adviser; from 05/2013 to 07/2017
  • ING Financial Partners, Inc.; Registered Representative/Investment Adviser Representative; from 02/2012 to 08/2014
  • IUPUI; Student; from 08/2009 to 12/2011
  • U.S. Army; Squad Leader; from 02/2005 to 05/2009

 

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, Leeanne Lollar has no information applicable to this requirement.

For more information about Leeanne Lollar, 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

A. Investment-Related Activities

Registered representative of a broker-dealer

In addition to acting as an IAR, Leeanne M. Lollar is separately registered with JW Cole Advisors as a Registered Representative. As such, Leeanne M. Lollar may receive separate, yet customary, commission compensation resulting from implementing brokerage transactions on behalf of clients, including clients who may have an investment advisory relationship.

Insurance company or agency

Leeanne M. Lollar is also an independent insurance agent appointed with various insurance companies. As such, Leeanne M. Lollar may receive separate, yet customary, commission compensation resulting from implementing insurance product transactions on behalf of clients, including clients who may have an investment advisory relationship.

Disclosure related to all investment-related activities:

Clients are not under any obligation to engage Leeanne M. Lollar to provide other services. The implementation of any and all recommendations are solely at the discretion and direction of the client. Leeanne M. Lollar must place the interests of his/her clients first as part of Leeanne M. Lollar's fiduciary obligation. Clients should be aware that the receipt of additional compensation for other activities, such as brokerage or insurance, creates a conflict of interest for Leeanne M. Lollar. Leeanne M. Lollar and JW Cole Advisors take certain steps to address this conflict of interest. Please refer to JW Cole Advisors Part 2A to the Form ADV for additional information.

B. Non-Investment-Related Activities

Leeanne M. Lollar is not engaged in any other business or occupation that provides substantial compensation or involves a substantial amount of his or her time.

 

Item 5     Additional Compensation

Leeanne Lollar may receive additional compensation in connection with her 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

Leeanne Lollar is currently supervised by Todd Pack of JW Cole Advisors. Todd Pack or a member of the compliance department may be reached at 813-935-6776. JW 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, JW Cole Advisors utilizes various audit and monitoring/surveillance mechanisms to oversee the advisory activities of Leeanne Lollar.