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EB

Edward D. Becker

Some features on this profile are disabled
CRD#: 2127112
EB

Professional summary

Edward David Becker was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Edward is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Edward had worked at 11 firms, which includes RUMSON CAPITAL LLC, SALOMON GREY FINANCIAL CORPORATION, PACIFIC CORTEZ SECURITIES INCORPORATED, SUPPES SECURITIES INC., FIRST COLONIAL SECURITIES, INVESTORS ASSOCIATES INC., MEYERS POLLOCK ROBBINS INC., INSTITUTIONAL EQUITY CORPORATION, CAMELOT INVESTMENT CORP., FIRST CHOICE SECURITIES CORP., FIRST ASSET MANAGEMENT INC..

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)

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

January 30, 2001 - March 13, 2001

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

May 26, 1999 - January 9, 2001

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

October 20, 1997 - April 6, 1999

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

April 17, 1997 - April 24, 1997

SUPPES SECURITIES, INC.

BD
CRD#: 13722
NYC, NY
Past

April 17, 1997 - August 28, 1997

FIRST COLONIAL SECURITIES

BD
CRD#: 25121
BOCA RATON, FL
Past

May 11, 1995 - September 30, 1996

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

March 28, 1995 - May 12, 1995

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

April 19, 1994 - December 15, 1994

INSTITUTIONAL EQUITY CORPORATION

BD
CRD#: 19628
DALLAS, TX
Past

June 1, 1993 - April 26, 1994

CAMELOT INVESTMENT CORP.

BD
CRD#: 21925
Past

March 25, 1992 - April 11, 1992

FIRST CHOICE SECURITIES CORP.

BD
CRD#: 17021
Past

March 25, 1992 - May 25, 1993

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, 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: 4/20/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1991
General Securities Representative Examination

Current Firm

RC
RUMSON CAPITAL, LLC
ANDOVER BROKERAGE CORP. | RUMSON CAPITAL, LLC | ANDOVER BROKERAGE, L.L.C.

CRD#: 33848 / SEC#: , 8-46133

BD
Terminated by SEC on 06/16/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/02/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PICOZZI, MICHAEL IIIMANAGING MEMBER/CEO2504808
NOCELLA, EDWARD LOUISFNOP1519789

Disclosures

Regulatory Event7

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

RUMSON CAPITAL, LLC

CRD#: 33848

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