Dolph Frederick Becker Iii
Professional Summary
Dolph Frederick Becker III, who also goes by Dolph Frederick Becker, was a registered financial advisor. Dolph was a previously registered financial professional and started their career in finance 1983 - 2021. Dolph had worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dolph Frederick Becker
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
BRAZIE & COMPANY, INC. | WESTMINSTER FINANCIAL SECURITIES, INC. | BRAZIE FINANCIAL SERVICES, INC. | BRAZIE FINANCIAL SECURITIES, INC.
Contact Information
Main Address
50 Chestnut Street Suite A-200, Beavercreek, OH 45440Mailing Address
50 Chestnut Street Suite A-200, Beavercreek, OH 45440Phone Number
(937) 898-5010Established
Ohio since 07/23/1987Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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