Sean J. 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.
Sean James Becker, who also goes by Sean J. Becker, Sean Becker, Sean James Roy-becker, Sean Roy-becker, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1998. Sean had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2013 - November 8, 2019
TD PRIVATE CLIENT WEALTH LLC
February 28, 2013 - November 8, 2019
TD PRIVATE CLIENT WEALTH LLC
November 25, 2008 - November 5, 2009
KEY INVESTMENT SERVICES LLC
January 1, 2005 - December 7, 2006
BANCNORTH INVESTMENT GROUP, INC.
September 16, 2004 - December 7, 2006
CETERA INVESTMENT SERVICES LLC
September 16, 2004 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
August 30, 2004 - October 1, 2004
QUICK & REILLY, INC.
January 15, 2002 - October 1, 2004
QUICK & REILLY, INC.
January 17, 2001 - July 3, 2001
ORBITEX FUNDS DISTRIBUTOR, INC.
April 2, 1998 - November 6, 2000
BOFA DISTRIBUTORS, INC.
March 3, 1998 - April 2, 1998
IFMG SECURITIES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 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.
