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Michael C. Becker

PHX FINANCIAL
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 2592410
MB

Professional summary

Michael Christopher Becker, who also goes by Mike Becker, is a registered financial professional currently at PHX FINANCIAL, INC. located in Fort Lauderdale, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike 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 Michael Christopher Becker's CRS (Customer Relationship Summary).
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

April 29, 2016 - Present

PHX FINANCIAL, INC.

Office #1: 1 East Broward Boulevard, Fort Lauderdale, FL 33301
BD
CRD#: 144403
Fort Lauderdale, FL
Past

September 15, 2008 - April 22, 2016

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
SYOSSET, NY
Past

May 3, 2006 - September 12, 2008

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
MELVILLE, NY
Past

August 29, 2005 - May 15, 2006

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
MELVILLE, NY
Past

August 23, 2005 - August 23, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

March 22, 2005 - September 2, 2005

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

August 27, 2003 - March 22, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

September 9, 2002 - September 12, 2003

BENCHMARK SECURITIES GROUP, INC.

BD
CRD#: 103760
OKLAHOMA CITY, OK
Past

October 18, 2001 - September 5, 2002

BISHOP, ROSEN & CO., INC.

BD
CRD#: 1248
NEW YORK, NY
Past

August 25, 2000 - November 29, 2001

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

May 9, 1995 - November 21, 2000

JOSEPH DILLON & COMPANY INC.

BD
CRD#: 35220
GREAT NECK, 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
Arizona
(8/1/2022)
RR
California
(4/29/2016)
RR
Florida
(5/3/2022)
RR
Illinois
(12/18/2023)
RR
Indiana
(7/28/2022)
RR
Iowa
(7/21/2022)
RR
Kansas
(7/1/2022)
RR
New Jersey
(7/20/2022)
RR
New York
(4/29/2016)
RR
Ohio
(4/29/2016)
RR
Texas
(7/24/2019)
RR
Virginia
(7/2/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/21/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/5/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/22/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

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

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
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#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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

PHX FINANCIAL, INC.

CRD#: 144403Fort Lauderdale, FL 33301

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