Becky V. Halphin
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.
Becky Vee Halphin, who also goes by Becky Vee Shrader, was a registered financial professional .
Becky is a previously registered financial professional and started their career in finance in 1993. Becky had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2006 - September 11, 2014
GENERAL SECURITIES CORP
January 3, 2002 - November 30, 2004
PRINCIPAL SECURITIES, INC.
September 22, 1999 - December 31, 2001
BMA FINANCIAL SERVICES, INC.
July 5, 1996 - March 16, 1998
NYLIFE SECURITIES LLC
November 18, 1993 - June 21, 1996
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GENERAL SECURITIES CORP
CRD#: 15062 / SEC#: , 8-31654
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAVING STREET CHILDREN INC | PRIVATE NON-PROFIT FOUNDATION | |
| MILLER, DAVID SCHUMWAY | PRESIDENT/CCO | 334607 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
