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HB

Heide M. Becker

Some features on this profile are disabled
CRD#: 2123953
HB

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.

Heide Maria Becker, who also goes by Heide Maria Stubenrauch, was a registered financial professional .

Heide is a previously registered financial professional and started their career in finance in 1991. Heide had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heide Maria Stubenrauch

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

February 25, 2011 - October 22, 2015

GIRARD SECURITIES, INC.

BD
CRD#: 18697
MCKINNEY, TX
Past

August 5, 2009 - February 11, 2011

QA3 FINANCIAL CORP.

BD
CRD#: 14754
MCKINNEY, TX
Past

March 16, 2007 - June 23, 2009

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
ALLEN, TX
Past

January 21, 2003 - March 16, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
ALLEN, TX
Past

December 12, 2002 - March 16, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ALLEN, TX
Past

July 5, 1995 - December 11, 2002

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

July 1, 1995 - December 11, 2002

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
DALLAS, TX
Past

October 5, 1994 - July 11, 1995

ARAGON FINANCIAL SERVICES, INC.

BD
CRD#: 16023
IRVINE, CA
Past

January 5, 1993 - March 1, 1994

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH
Past

June 5, 1991 - December 31, 1992

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

April 2, 1991 - July 3, 1991

MONY SECURITIES CORPORATION

BD
CRD#: 4386
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
RR
Series 63
Date: 4/24/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/22/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/1/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/29/2003
General Securities Principal Examination

Current Firm

GS
GIRARD SECURITIES, INC.
ALLRED RETIREMENT SERVICES | WILLIAM PRITCHARD | VIDA WEALTH PARTNERS | UNITED CAPITAL FINANCIAL ADVISORS | UCFA-FT. LAUDERDALE | UCFA ILLINOIS | UCFA HARVEST GROUP | UCFA - FORT COLLINS | UCFA | TOROSO FINANCIAL GROUP, LLP | TM WEALTH MANAGEMENT SYSTEMS | STRATTON INVESTORS FINANCIAL SERVICES | SNYDER FINANCIAL SERVICES | SILVERBERG & COOK, INC | SHANLEY & ASSOCIATES | SELBY DIAMOND ENTERPRISES, INC. | SCHEER WEALTH | SB WEALTH STRATEGIES | ROLOFF WEALTH MANAGEMENT, INC. | RINCON PACIFIC MANAGEMENT INC. | RETIREMENT SOLUTIONS | RETIREMENT MONEY MANAGEMENT | PROFESSIONAL ADVISORY SERVICES, INC | PROFESSIONAL ADVISORY SERVICES | PREMIER ADVISORS | PEAK FINANCIAL SOLUTIONS | PACIFIC WEALTH MANAGEMENT | PACIFIC CAPITAL ASSOCIATES | OSWALD WEALTH | NEWCASTLE FINANCIAL ADVISORS, INC | MPC ADVISORS | MILITELLO WEALTH MANAGEMENT, LLC | MEYERS FINANCIAL | LEGACY WEALTH MANAGEMENT | LEGACY FINANCIAL ADVISORS | KOCHAN FINANCIAL GROUP | KESTING FINANCIAL SERVICES | HOFFMAN & ASSOCIATES, INC | HARDWORKING CAPITAL | HAP NIELSEN INVESTMENTS | GUY J. LANDOLFI, CPA | GRS FINANCIAL GROUP | GRAND PRAIRIE FINANCIAL | GLEASON FINANCIAL | GIRARD SECURITIES, INC. | FOCUS FINANCIAL GROUP INC. | FINANCIAL PLANNING AND MANAGEMENT CORP. | DE GROOTE FINANCIAL GROUP | COOLEY AND LABAS FINANCIAL ADVISORS | BRIDGE WEALTH MANAGEMENT | BARTNICK FINANCIAL | ASSET ONE LLC

CRD#: 18697 / SEC#: 801-61470, 8-36920

BD
Terminated by SEC on 01/12/2018
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Contact information

Main Address
9560 Waples Street Suite B, San Diego, CA 92121
Mailing Address
Phone number
Established
California since 04/19/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

GIRARD SECURITIES WRAP FEE BROCHURE 20170331 (3/31/2017)
PART 2A FORM ADV 20170331 FIRM BROCHURE (3/31/2017)

Direct owners and executive officers

NamePositionCRD#
CHARGERS ACQUISITION LLCSHAREHOLDER
BALLARD, JAMES DAVIDVP1714327
BARRAGAN, JOHN ARTHUR IIIPRESIDENT/COO2941942
GRAHAM, LUANNE MARIEADVISORY CCO2310126
HARRISON, BRETT LAMARDIRECTOR4032238
JACOBSEN, BRYAN KB-D CCO, SECRETARY3055957
KLICMAN, SHIRLEY ANNEVP1771713
OLSON, GREGORY ALANASST. SECRETARY2692482
ROGERS, JASON DYLANSENIOR EXECUTIVE VP2641674
SHERROD, TRACI LYNNAVP4321192
SMILEY, STANLEY ROBERTVP3004604
TIETJEN, MARGARET SUSANCHIEF EXECUTIVE OFFICER/ DIRECTOR1294862

Disclosures

Regulatory Event2

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

GIRARD SECURITIES, INC.

CRD#: 18697

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