John P. Becker

KBD SECURITIES

New Yoyk, NY 10016

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CRD#: 1470470

Professional summary

John Patrick Becker is a registered financial professional currently at KBD SECURITIES, LLC located in New Yoyk, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1986. John has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Patrick Becker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 30, 2008 - Present

KBD SECURITIES, LLC

Office #1: 470 Park Avenue South, New Yoyk, NY 10016

CRD#: 104110

New Yoyk, NY

Past

April 27, 2005 - January 23, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

NEW YORK, NY

Past

March 23, 1998 - January 23, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NEW YORK, NY

Past

March 9, 1994 - March 13, 1998

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

June 12, 1987 - January 4, 1988

WAKEFIELD FINANCIAL CORPORATION

CRD#: 11064

Past

April 23, 1986 - September 30, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(4/8/2013)

Florida
(6/21/2013)

New York
(5/30/2008)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/18/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/8/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KBD SECURITIES, LLC

CRD#: 104110 / SEC#: , 8-52591

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

470 Park Avenue South 8th Floor South, New York, NY 10016

Mailing Address

470 Park Avenue South 8th Floor South, New York, NY 10016

Phone number

(914) 703-6904

Established

New York since 03/23/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HORIZON KINETICS, LLC	PARENT COMPANY
BELL, CHRISTOPHER DUNCAN	CEO, CFO, DESIGNATED PRINCIPAL, FINOP	1479836
DOYLE, JAMES GANNON	CHIEF COMPLIANCE OFFICER & DESIGNATED PRINCIPAL	4189586
KESSLEN, JAY HARRIS	GENERAL COUNSEL, SVP, AML OFFICER	4335392
WILLIAMS, ALUN L	OPERATIONS PROFESSIONAL	4331633

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John P. Becker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Patrick Becker's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CITICORP INVESTMENT SERVICES

WAKEFIELD FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2000

Series 63

Date: 3/29/1994

SIE

Date: 10/1/2018

Series 7

Date: 3/8/1994

Series 24

Date: 12/8/1997

FINRA

Current Firm

KBD SECURITIES, LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KBD SECURITIES, LLC

TRUST BUT VERIFY

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