Richard A. Becker

GWN SECURITIES

Katy, TX 77494

Some features on this profile are disabled

CRD#: 2675024

Professional summary

Richard Alex Becker, AIF®, CFP®, who also goes by Richard A Becker, Richard Becker, is a registered financial advisor currently at GWN SECURITIES INC. located in Katy, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard A Becker | Richard 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) - RIA

Click below to view Richard Alex Becker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Alex 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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

September 15, 2017 - Present

GWN SECURITIES INC.

Office #1: 2717 Commercial Center Blvd. Suite E200, Katy, TX 77494

RIA

CRD#: 128929

Katy, TX

Current

July 3, 2017 - Present

GWN SECURITIES INC.

Office #1: 2717 Commercial Center Blvd. Suite E200, Katy, TX 77494

RIA

CRD#: 128929

Katy, TX

Past

October 3, 2025 - October 14, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Houston, TX

Past

October 3, 2025 - October 14, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Houston, TX

Past

July 3, 2017 - July 5, 2017

GWN SECURITIES INC.

RIA

CRD#: 128929

HOUSTON, TX

Past

May 9, 2014 - June 16, 2017

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Houston, TX

Past

May 6, 2014 - June 16, 2017

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

Houston, TX

Past

May 19, 2010 - May 14, 2014

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

May 17, 2010 - May 14, 2014

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

October 14, 2008 - May 25, 2010

WADDELL & REED

RIA

CRD#: 866

HOUSTON, TX

Past

August 21, 2008 - May 25, 2010

WADDELL & REED

CRD#: 866

HOUSTON, TX

Past

December 20, 1995 - February 21, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

GWN SECURITIES INC.

GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.

CRD#: 128929 / SEC#: 801-62547, 8-66185

RIA

Registered Investment Advisory firm - SEC (1/2/2004 Approved)

Wyoming

Registered Investment Advisory firm - SEC (6/30/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(1/4/2024)

Arkansas
(2/9/2026)

Louisiana
(7/3/2017)

Michigan
(9/3/2020)

Mississippi
(1/4/2024)

Texas
(9/15/2017)

IAR

Texas
(9/15/2017)

Utah
(1/23/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/12/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GWN SECURITIES INC.

GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.

CRD#: 128929 / SEC#: 801-62547, 8-66185

RIA

Registered Investment Advisory firm - SEC (1/2/2004 Approved)

Wyoming

Registered Investment Advisory firm - SEC (6/30/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764

Mailing Address

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764

Phone number

(561) 472-2700

Established

Florida since 05/12/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

744

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWN FORM ADV BROCHURE (4/11/2025)

Direct owners and executive officers

Name	Position	CRD#
WORLD INVESTMENT NETWORK	OWNER
BORNHEIMER, LAURA JEANETTE	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP	1769643
CORBIN, BRAD JEFFREY	SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING	1754065
RITTMAN, BARRY RICHARD	CFO FINOP VP	1997994
WALSH, DENIS STEPHEN	CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT	1124278
WALSH, MARY THERESE	SECRETARY	2829444

Regulatory assets under management

Total Number of Accounts	64,207
AUM (Assets Under Management)	$ 3,650,274,405

Disclosures

Regulatory Event

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.

Similar Advisors

Troy Wootton

OSAIC WEALTH, INC.

IAR

Sugar Land, TX

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard A. Becker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alex Becker's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Alex Becker's CRS (Customer Relationship Summary).

Certified licenses

Experience

GWN SECURITIES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

GWN SECURITIES INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

WADDELL & REED

WADDELL & REED

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

GWN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2008

Series 65

Date: 1/5/1996

Series 63

Date: 12/22/1995

SIE

Date: 10/1/2018

Series 7

Date: 8/19/2008

Series 24

Date: 9/1/2012

FINRA

Current Firm

GWN SECURITIES INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GWN SECURITIES INC.

TRUST BUT VERIFY

Similar Advisors