WB
William D. Becker
MONEY CONCEPTS CAPITAL CORP
San Jose, CA
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CRD#: 1987125
WB
Professional summary
William Dee Becker II, who also goes by Bill Becker, William Dee Becker II, William Dee Becker, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in San Jose, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Becker | William Dee Becker Ii | William Dee 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.
1. Becker Financial Services, 1/1/1980 William D. Becker - Sole Proprietor Not investment-related, Real Estate sales, management 50 Total Hours per month. 40 hours (during trading hours)-0 hours 2. Estate Planning Team Member 1/19/2010, 45110 Club Dr. Ste. B, Indian Wells, CA 92210, Sole Proprietorship. Not investment-related, Represent and market the Deferred Sales Trust(DST), Prospect for potential clients and explain the strategy, Compensation when hired by Trustee to manage money in a DST, 32 Total Hours per month. 25 hours monthly (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view William Dee Becker II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Dee Becker II's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 5, 2022 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
San Jose, CA
Current
May 4, 2022 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
San Jose, CA
Past
April 18, 2020 - May 17, 2022
INFINITY FINANCIAL SERVICES ADVISORY
RIA
CRD#: 304981
San Jose, CA
Past
September 2, 2014 - December 31, 2020
INFINITY FINANCIAL SERVICES
RIA
CRD#: 144302
San Jose, CA
Past
August 29, 2014 - May 17, 2022
INFINITY FINANCIAL SERVICES
BD
CRD#: 144302
San Jose, CA
Past
March 22, 1999 - August 28, 2014
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
SAN JOSE, CA
Past
June 18, 1996 - August 28, 2014
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
SAN JOSE, CA
Past
October 11, 1994 - May 28, 1996
GRIFFIN FINANCIAL SERVICES
BD
CRD#: 10823
Past
November 16, 1993 - August 25, 1994
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 7, 1989 - October 27, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
September 7, 1989 - October 27, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MC
MONEY CONCEPTS CAPITAL CORP
INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE
CRD#: 12963 / SEC#: 801-39736, 8-29671
RIA
Registered Investment Advisory firm - SEC (10/7/1991 Approved)Virgin Islands
Registered Investment Advisory firm - SEC (10/28/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/4/2022)
IAR
California(5/5/2022)
RR
Mississippi(7/18/2022)
RR
North Carolina(5/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MONEY CONCEPTS CAPITAL CORP
INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE
CRD#: 12963 / SEC#: 801-39736, 8-29671
RIA
Registered Investment Advisory firm - SEC (10/7/1991 Approved)Virgin Islands
Registered Investment Advisory firm - SEC (10/28/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 Jog Road, Palm Beach Gardens, FL 33418
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2000
Established
Florida since 06/23/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
431
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
