Shepard R. Becker
Professional summary
Shepard Roy Becker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shepard is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Shepard had worked at 5 firms, which includes INVESTORS CAPITAL CORP., COMMONWEALTH FINANCIAL NETWORK, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2005 - September 14, 2007
INVESTORS CAPITAL CORP.
January 3, 2005 - September 14, 2007
INVESTORS CAPITAL CORP.
February 4, 2002 - December 31, 2004
COMMONWEALTH FINANCIAL NETWORK
August 6, 1998 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1995 - June 4, 1998
METROPOLITAN LIFE INSURANCE COMPANY
July 18, 1995 - June 4, 1998
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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