MB
Mark C. Becker
KESTRA ADVISORY SERVICES
SACRAMENTO, CA 95833
Some features on this profile are disabled
CRD#: 2558944
MB
Professional summary
Mark Clarence Becker is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Sacramento, California and KESTRA INVESTMENT SERVICES, LLC located in Sacramento, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: The Bee Box Investment Related: No Address: 4765 J Street Suite C sacramento CA 95819 Nature of Business: Other Other/None of the Above NA Position, Title or Relationship: Partner Start Date: 3/31/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Bring Honey and Pollen to Store
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services
Business Name: The Becker Group Investment Related: Yes Address: 4765 J Street Suite B Sacramento CA 95819 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 1/1/2002 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: I meet with clients and review their Financial plan.
Business Name: BECKER BROTHERS INSURANCE SERVICES Investment Related: Yes Address: 4765 J STREET Suite B SACRAMENTO CA 95819 Nature of Business: Insurance Position, Title or Relationship: Owner Start Date: 3/8/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I manage the day to day operations of Becker Brothers any interaction with the life insurance companies.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Clarence 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®
NoneExperience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1750 Creekside Oaks Drive, Suite 215, Sacramento, CA 95833RIA
CRD#: 283330
SACRAMENTO, CA
Current
March 8, 2013 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 4765 J Street Suite B, Sacramento, CA 95819BD
CRD#: 42046
Sacramento, CA
Past
March 8, 2013 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SACRAMENTO, CA
Past
February 10, 2011 - March 27, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SACRAMENTO, CA
Past
February 9, 2011 - March 27, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SACRAMENTO, CA
Past
May 30, 2001 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
SACRAMENTO, CA
Past
May 29, 2001 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
SACRAMENTO, CA
Past
December 18, 1998 - May 29, 2001
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
April 23, 1996 - August 19, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
December 22, 1994 - December 18, 1998
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(3/8/2013)
RR
California(3/8/2013)
IAR
California(4/19/2016)
RR
Florida(12/13/2024)
RR
Montana(10/25/2019)
RR
Nevada(3/8/2013)
RR
New Hampshire(1/16/2024)
RR
Ohio(9/25/2019)
RR
Oregon(11/4/2019)
RR
Tennessee(3/8/2013)
RR
Washington(3/8/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
