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.
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
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 email@example.com for a free consultation.
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