Paul 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.
Paul Becker, CFP® was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1969. Paul had worked at 5 firms and has passed the Series 63, Series 5, PC, Series 7, Series 1, Series 14A, Series 14, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - February 1, 2011
OSCAR GRUSS & SON INCORPORATED
November 19, 1997 - December 31, 2010
OSCAR GRUSS & SON INCORPORATED
October 2, 1996 - November 19, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
March 17, 1981 - October 11, 1996
LABRANCHE FINANCIAL SERVICES, LLC
September 19, 1979 - January 5, 1981
SECURITIES SETTLEMENT CORPORATION
January 28, 1969 - April 8, 1977
PHILIPS, APPEL & WALDEN, INC.
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 5
Date: 10/16/1981
Interest Rate Options ExaminationPC
Date: 11/1/1979
AMEX Put and Call ExamSeries 1
Date: 1/24/1969
Registered Representative ExaminationSeries 14A
Date: 2/25/1994
Compliance Official Specialist ExamSeries 12
Date: 4/21/1981
NYSE Branch Manager ExaminationCurrent Firm
OSCAR GRUSS & SON INCORPORATED
CRD#: 2091 / SEC#: , 8-22371
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 5 |
| Judgment/Lien | 13 |
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.
