Donald S. Becker
Professional summary
Donald Sherman Becker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donald is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Donald had worked at 18 firms, which includes EDI FINANCIAL INC., CL WEALTH MANAGEMENT LLC, ALLIED BEACON PARTNERS INC., BECKER FINANCIAL GROUP, KAISER WEALTH MANAGEMENT, KAISER AND COMPANY, WRP INVESTMENTS INC., GENEOS WEALTH MANAGEMENT INC., CULLUM & BURKS SECURITIES INC., RUSHMORE SECURITIES CORPORATION, NORTHSTAR SECURITIES INC., DOMINION CAPITAL CORPORATION, T.L. GROUP INC., PROSPERA FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, LOVETT UNDERWOOD NEUHAUS & WEBB INC., UNDERWOOD NEUHAUS & CO. INCORPORATED, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2013 - October 28, 2013
EDI FINANCIAL, INC.
February 13, 2012 - June 6, 2013
CL WEALTH MANAGEMENT LLC
September 23, 2011 - June 6, 2013
ALLIED BEACON PARTNERS, INC.
January 22, 2009 - December 31, 2009
BECKER FINANCIAL GROUP
August 26, 2008 - December 31, 2008
BECKER FINANCIAL GROUP
April 8, 2008 - July 26, 2011
KAISER WEALTH MANAGEMENT
April 2, 2008 - July 26, 2011
KAISER AND COMPANY
March 16, 2007 - April 1, 2008
WRP INVESTMENTS, INC.
March 16, 2007 - April 1, 2008
WRP INVESTMENTS, INC.
December 4, 2006 - February 28, 2007
GENEOS WEALTH MANAGEMENT, INC.
January 9, 2004 - February 28, 2007
GENEOS WEALTH MANAGEMENT, INC.
May 2, 2001 - February 6, 2004
CULLUM & BURKS SECURITIES, INC.
January 19, 2001 - March 20, 2001
RUSHMORE SECURITIES CORPORATION
September 30, 1998 - February 26, 2001
NORTHSTAR SECURITIES, INC.
February 23, 1996 - December 9, 1998
DOMINION CAPITAL CORPORATION
July 25, 1995 - February 16, 1996
T.L. GROUP, INC.
September 21, 1990 - November 3, 1994
PROSPERA FINANCIAL SERVICES, INC.
September 4, 1990 - October 5, 1990
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
January 3, 1989 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
May 22, 1986 - December 5, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
EDI FINANCIAL, INC.
CRD#: 15699 / SEC#: , 8-32566
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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