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RB

Robert L. Becker

Some features on this profile are disabled
CRD#: 2565306
RB

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.

Robert Louis Becker was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 13 firms and has passed the Series 63, Series 66, Series 57TO, Series 99TO, SIE, Series 7 and Series 24 exams.

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

October 15, 2023 - June 30, 2024

LIQUIDITY.IO, LLC

BD
CRD#: 289499
WHITEFISH, MT
Past

June 25, 2020 - January 6, 2022

CONFIGURE PARTNERS SECURITIES, LLC

BD
CRD#: 165594
Atlanta, GA
Past

October 24, 2017 - July 2, 2018

JONESTRADING

BD
CRD#: 6888
ATLANTA, GA
Past

February 1, 2011 - March 10, 2016

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

February 28, 2005 - December 15, 2006

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RED BANK, NJ
Past

June 9, 2004 - October 8, 2004

MILLENCO LLC

BD
CRD#: 33726
NEW YORK, NY
Past

October 20, 2003 - December 1, 2003

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

January 2, 2003 - March 14, 2003

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

September 17, 2002 - December 31, 2002

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

July 23, 2002 - December 31, 2002

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

July 19, 1999 - March 6, 2000

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

October 1, 1997 - June 21, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 7, 1997 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

December 12, 1994 - April 14, 1997

TDI, INCORPORATED

BD
CRD#: 30629
ENGLEWOOD, CO

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: 4/1/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/11/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/11/2014
General Securities Principal Examination

Current Firm

LL
LIQUIDITY.IO, LLC
ARQ ADVISORS LLC | LIQUIDITY.IO, LLC | ARQ SECURITIES

CRD#: 289499 / SEC#: , 8-70000

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

Main Address
350 Sugarbowl Circle, Whitefish, MT 59937
Mailing Address
350 Sugarbowl Circle, Whitefish, MT 59937
Phone number
(908) 608-8831
Established
Delaware since 01/02/2015
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SATSCHEL INCOWNER
CHOI, ERICCEO/PRINCIPAL/CCO2705845
BASKETT, ERINCFO/FINOP4538604
BEVAUN, MARLONFINOP6259795

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

LIQUIDITY.IO, LLC

CRD#: 289499

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