DB
DB

Daniel Keith Beech

12 Years of Experience
26 DisclosuresSells Insurance
Areas of Practice
Insurance PlanningEstate PlanningTax PlanningRetirement Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
118 advisors
Number of Clients
2,041 clients
Average Client Portfolio
$223K average
Assets Under Management
$456.1M
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Location

5950 Fairview Road, Suite 140, Charlotte, NC, 28210

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History

Regulatory History (26)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2025
Settled
Customer Dispute
January 2025
Pending
Customer Dispute
October 2024
Settled
Customer Dispute
September 2024
Settled
Employment Separation After Allegations
July 2024
Customer Dispute
February 2024
Settled
Regulatory
December 2023
Final
Customer Dispute
November 2023
Settled
Customer Dispute
September 2023
Settled
Customer Dispute
July 2023
Dismissed
Customer Dispute
July 2023
Settled
Customer Dispute
April 2023
Settled
Customer Dispute
January 2023
Settled
Customer Dispute
November 2022
Settled
Customer Dispute
November 2022
Settled
Customer Dispute
October 2022
Settled
Customer Dispute
October 2022
Settled
Customer Dispute
July 2022
Settled
Customer Dispute
July 2022
Settled
Customer Dispute
June 2022
Settled
Customer Dispute
June 2022
Settled
Customer Dispute
April 2022
Settled
Customer Dispute
August 2021
Settled
Customer Dispute
December 2019
Settled
Criminal
April 2011
Final Disposition
Judgment / Lien
May 2008
Other Business ActivitiesSells Insurance

Daniel is an agent for life and variable insurance, involved in commercial and residential lending through Simple Property, Inc., and provides estate and tax planning strategies and investments through Estate Planning Team. He also owns Beechwerks Management, a management consulting firm, dedicating a few hours per week, and Simple Wealth LLC, dedicating about a quarter of his time.

Employment History
Current Registrations
Ip Financial Advisory Services LLC
March 2022 - Present · 3 yrs 11 mos
Previous Registrations
Innovation Partners LLCBroker
March 2022 - July 2024 · 2 yrs 4 mos
Western International Securities
November 2017 - March 2022 · 4 yrs 4 mos
Western International Securities, INC.Broker
May 2016 - March 2022 · 5 yrs 10 mos
Independent Financial Group, LLCBroker
December 2014 - April 2016 · 1 yr 4 mos
Royal Alliance Associates, INC.Broker
November 2013 - January 2015 · 1 yr 2 mos
State Registrations3 states
CAGATX
Advisor
Exams
No exam information available for this advisor.