Harold E. Becker
Professional summary
Harold Eliot Becker, who also goes by Harold Becker, is a registered financial professional currently at CHATSWORTH SECURITIES LLC located in Greenwich, Connecticut.
Harold is registered as a RR (Registered Representative) and started their career in finance in 1999. Harold has worked at 2 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Harold Eliot Becker's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2000 - Present
CHATSWORTH SECURITIES LLC
Office #1: 95 East Putnam Avenue, Greenwich, CT 06830March 9, 1999 - February 15, 2000
M. J. WHITMAN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2000)
(1/29/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 2
Date: 12/30/1992
Non-Member General Securities ExaminationFINRA
Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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