Walter J. Becker
Professional summary
Walter J Becker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Walter is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Walter had worked at 4 firms, which includes WALT BECKER & ASSOCIATES INC., CROWN CAPITAL SECURITIES L.P., THE GREAT-WEST LIFE ASSURANCE COMPANY, LFG SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1976 - February 25, 2008
WALT BECKER & ASSOCIATES, INC.
September 20, 1972 - October 27, 1976
CROWN CAPITAL SECURITIES, L.P.
February 29, 1972 - January 28, 1985
THE GREAT-WEST LIFE ASSURANCE COMPANY
September 29, 1970 - September 14, 1972
LFG SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/14/1968
Registered Representative ExaminationF04
Date: 3/8/1976
Financial Principal ExaminationSeries 00
Date: 7/28/1970
General Securities Principal ExaminationCurrent Firm
WALT BECKER & ASSOCIATES, INC.
CRD#: 7014 / SEC#: , 8-19989
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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