Gregg M. Becker
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.
Gregg Mathew Becker, who also goes by Greg Becker, was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1995. Gregg had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2001 - July 8, 2002
BROOKSTREET SECURITIES CORPORATION
May 10, 1999 - February 6, 2001
TASIN & COMPANY, INC.
October 26, 1998 - December 15, 1998
GUNNALLEN FINANCIAL, INC
October 17, 1997 - May 6, 1998
SEABOARD SECURITIES, INC.
June 24, 1997 - August 27, 1997
FIRST COLONIAL SECURITIES
March 18, 1997 - April 30, 1997
CONTINENTAL BROKER-DEALER CORP.
February 17, 1995 - December 13, 1996
INVESTORS ASSOCIATES, 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
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
