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DB

Don Backstrom

BACKSTROM MCCARLEY BERRY & CO.
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2126794
DB

Professional summary

Don Backstrom is a registered financial professional currently at BACKSTROM MCCARLEY BERRY & CO., LLC located in San Francisco, California.

Don is registered as a RR (Registered Representative) and started their career in finance in 1993. Don has worked at 4 firms and has passed the SIE, Series 50 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Don Backstrom'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®
None

Experience

Current

March 6, 2003 - Present

BACKSTROM MCCARLEY BERRY & CO., LLC

Office #1: 130 Battery Street, Suite 560, San Francisco, CA 94111Office #2: 130 Battery Street, Suite 560, San Francisco, CA 94111
BD
CRD#: 124503
San Francisco, CA
Past

April 1, 1999 - March 17, 2003

THE CHAPMAN CO.

BD
CRD#: 19178
COLUMBIA, MD
Past

May 14, 1997 - February 2, 1999

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

July 13, 1993 - March 14, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 8/11/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 52
Date: 7/12/1993
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BM
BACKSTROM MCCARLEY BERRY & CO., LLC
BACKSTROM MCCARLEY BERRY & CO., LLC

CRD#: 124503 / SEC#: , 8-65679

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
130 Battery Street, Suite 560, San Francisco, CA 94111
Mailing Address
130 Battery Street, Suite 560, San Francisco, CA 94111
Phone number
(415) 392-5505
Established
California since 06/04/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MCCARLEY, VINCENT ELLISCEO, MUNICIPAL PRINCIPAL, CCO1711341
LEUNG, FRANK SIKWINGCFO, FINOP2145757

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

BACKSTROM MCCARLEY BERRY & CO., LLC

CRD#: 124503San Francisco, CA 94111

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