Dolph F. Becker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dolph Frederick Becker III, who also goes by Dolph Frederick Becker, was a registered financial professional .
Dolph is a previously registered financial professional and started their career in finance in 1983. Dolph had worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2003 - September 24, 2021
WESTMINSTER FINANCIAL SECURITIES, INC.
April 17, 2002 - June 6, 2003
VOYA FINANCIAL ADVISORS, INC.
June 24, 1993 - June 6, 2003
VOYA FINANCIAL ADVISORS, INC.
November 24, 1989 - December 11, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - June 25, 1993
OSAIC WEALTH, INC.
May 24, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
