Brian 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.
Brian Becker, CFP®, who also goes by Brian VIncent Becker, Brian Becker, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1988. Brian had worked at 12 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 31, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2017 - September 15, 2021
J.P. MORGAN SECURITIES LLC
November 22, 2017 - September 15, 2021
J.P. MORGAN SECURITIES LLC
August 2, 2013 - November 30, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2013 - November 30, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2011 - February 26, 2013
SSC NY CORP.
October 12, 2011 - November 14, 2011
PFS INVESTMENTS INC.
October 12, 2011 - November 14, 2011
PFS INVESTMENTS INC.
August 5, 2009 - November 11, 2009
HSBC SECURITIES (USA) INC.
July 31, 2009 - November 11, 2009
HSBC SECURITIES (USA) INC.
January 4, 2008 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 4, 2008 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 23, 2006 - December 12, 2007
PNC WEALTH MANAGEMENT LLC
March 23, 2006 - December 12, 2007
PNC WEALTH MANAGEMENT LLC
May 11, 2004 - November 8, 2005
MORGAN STANLEY DW INC.
April 2, 2004 - November 8, 2005
MORGAN STANLEY DW INC.
March 13, 2000 - May 6, 2002
CIBC WORLD MARKETS CORP.
February 27, 1991 - March 10, 2000
NEUBERGER BERMAN BD LLC
March 16, 1990 - July 23, 1990
LAIDLAW GLOBAL SECURITIES, INC.
December 20, 1988 - April 4, 1989
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/10/1998
Limited Representative-Equity Trader ExamCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
