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Cason Beatty Voluntarily Resigned from Fiori Financial Group

Cason Beatty (CRD #: 6975397) voluntarily resigned from FFG Partners, which does business under the name Fiori Financial Group. This disclosure appears on his BrokerCheck record, which was accessed on November 15, 2023. Details concerning his resignation are provided below. 

On September 12, 2023, Cason Beatty voluntarily resigned from Fiori Financial following an internal review by the firm of his alleged outside business activities. 

FINRA Rule 3270 – Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Outside Businesses

Cason Beatty has the following outside businesses listed on his detailed BrokerCheck record: 

  • FFG Partners, d.b.a. Fiori Financial Group 
  • Non-Variable Insurance Agent 
  • 5 Oaks Advisors: Owner 
  • GCal Doak: Investment holding company

Background Information 

Cason Beatty has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

Aside from Fiorio Financial Group, Cason Beatty previously registered with Thrivent Investment Management (CRD #: 18387). 

Kurta Law Can Help

If you worked with Cason Beatty and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

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