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JB

James D. Becker

Some features on this profile are disabled
CRD#: 1915242
JB

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.

James David Becker, who also goes by Chip David Becker, Chip Becker, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1989. James had worked at 11 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chip David Becker | Chip Becker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 16, 2009 - July 28, 2009

HEROLD & LANTERN INVESTMENTS, INC.

BD
CRD#: 30996
NEWTON, MA
Past

June 17, 2005 - December 31, 2008

KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.

BD
CRD#: 2438
BOSTON, MA
Past

January 7, 2004 - June 9, 2005

FIRST DUNBAR SECURITIES CORPORATION

BD
CRD#: 17901
EAST BERLIN, CT
Past

March 22, 2001 - February 12, 2003

LEERINK PARTNERS LLC

BD
CRD#: 39011
BOSTON, MA
Past

August 5, 2000 - March 29, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 3, 1998 - August 5, 2000

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

February 6, 1996 - June 26, 1998

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

June 23, 1994 - February 1, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 22, 1992 - July 1, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 13, 1990 - September 10, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 24, 1989 - December 4, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/5/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/1/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/27/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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.

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996

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