Roland Becerra
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.
Roland Becerra, CFP® was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1989. Roland had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2008 - November 15, 2023
CHARLES SCHWAB & CO., INC.
October 29, 2008 - November 15, 2023
CHARLES SCHWAB & CO., INC.
June 24, 2008 - December 31, 2008
401(K) INVESTMENT ADVISORS
May 1, 2008 - December 31, 2008
401(K) INVESTMENT SERVICES, INC.
August 14, 2007 - May 1, 2008
VOYA RETIREMENT ADVISORS, LLC
November 1, 2002 - February 8, 2007
ENTERPRISE FUND DISTRIBUTORS, INC.
November 25, 1998 - October 18, 2002
401(K) INVESTMENT SERVICES, INC.
September 22, 1993 - September 1, 1994
FIMCO SECURITIES GROUP, INC.
July 16, 1993 - August 29, 1994
COMERICA FINANCIAL SERVICES, INC.
April 6, 1992 - February 8, 1993
INVEST FINANCIAL CORPORATION
May 4, 1990 - December 1, 1991
NEW ENGLAND SECURITIES
February 14, 1989 - May 4, 1990
ADVANTAGE CAPITAL CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
