Fredrick D. 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.
Fredrick Dale Becker, who also goes by Frederick D Becker, Rick Becker, was a registered financial professional .
Fredrick is a previously registered financial professional and started their career in finance in 1973. Fredrick had worked at 9 firms and has passed the Series 65, Series 63, Series 3, PC, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2004 - December 31, 2020
FD BECKER FINANCIAL MANAGEMENT LLC
January 2, 1992 - December 31, 1993
ADVANTAGE CAPITAL CORPORATION
March 6, 1989 - January 3, 1992
MORGAN STANLEY DW INC.
January 30, 1987 - October 17, 1988
NEW ENGLAND SECURITIES
September 4, 1986 - December 22, 1986
NEW ENGLAND SECURITIES
September 10, 1985 - August 29, 1986
PRINCIPAL SECURITIES, INC.
October 20, 1980 - September 9, 1985
EQUITABLE ADVISORS, LLC
October 26, 1977 - September 9, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 28, 1976 - September 11, 1977
A. G. EDWARDS & SONS, INC.
July 26, 1973 - November 11, 1973
LAMSON BROS. & CO.
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
PC
Date: 4/17/1989
AMEX Put and Call ExamSeries 1
Date: 7/18/1973
Registered Representative ExaminationCurrent Firm
FD BECKER FINANCIAL MANAGEMENT LLC
CRD#: 118183 / SEC#:
Contact information
Red Flags
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