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DB

Douglas L. Becker

CAPITAL ONE SECURITIES
Houston, TX 77002
Some features on this profile are disabled
CRD#: 2377919
DB

Professional summary

Douglas Lee Becker, who also goes by Douglas L Becker, Douglas Lee Becker, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Houston, Texas.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1997. Douglas has worked at 7 firms and has passed the Series 63, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas L Becker | Douglas Lee Becker

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 Douglas Lee Becker'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

January 13, 2023 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 440 Louisiana St. #811, Houston, TX 77002
BD
CRD#: 44158
Houston, TX
Past

October 22, 2021 - November 15, 2022

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
NEW YORK, NY
Past

February 7, 2020 - November 3, 2021

NORTHLAND SECURITIES, INC.

BD
CRD#: 40258
MINNEAPOLIS, MN
Past

December 7, 2009 - October 20, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
HOUSTON, TX
Past

March 16, 2009 - November 16, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

April 17, 1998 - March 20, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

December 23, 1997 - April 24, 1998

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Louisiana
(1/13/2023)
RR
Texas
(1/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 2/6/2020
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/31/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 12/22/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CO
CAPITAL ONE SECURITIES, INC.
CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Mailing Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Phone number
(504) 533-7377
Established
Louisiana since 04/01/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (12 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE FINANCIAL CORPORATION100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGHDIRECTOR3117394
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OPERATIONS OFFICER (FINOP)5087341
JOHNSON, RUSSELL ALANDIRECTOR2785704
KUCERA, DAVID JOHNDIRECTOR2598213
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
NAKAMURA, SEIJI PETERDIRECTOR2561992
PORPHY, JEFFREY RDIRECTOR4107535
TULIP, STEVEN ANDREWPRESIDENT AND DIRECTOR2540149

Disclosures

Regulatory Event3

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

CAPITAL ONE SECURITIES, INC.

CRD#: 44158Houston, TX 77002

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