David M. Becker

KEYSTONE WEALTH MANAGEMENT

Waterloo, IA

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CRD#: 3063973

Professional summary

David Michael Becker, CFP®, who also goes by Dave Becker, is a registered financial advisor currently at KEYSTONE WEALTH MANAGEMENT located in Waterloo, Iowa.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. David has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave 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.

1)Keystone Wealth Management. Investment Related. 999 Home Plaza Suite 100G, Waterloo, Iowa 50701. Investments, Owner. Start 6/2019. 160hrs/mo, all during trading hours. Financial Advisory. 2) Keystone Wealth Management (Fixed Insurance). Non-investment related. 999 Home Plaza Suite 100G, Waterloo, Iowa 50701. Fixed Insurance, Agent. Start 1998. 1hr/mo, all during trading hours. Selling life, annuities, and long term care.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael 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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

June 4, 2019 - Present

KEYSTONE WEALTH MANAGEMENT

RIA

CRD#: 304133

Waterloo, IA

Past

August 1, 2019 - December 31, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Waterloo, IA

Past

October 29, 2007 - June 6, 2019

CETERA ADVISORS LLC

RIA

CRD#: 10299

WATERLOO, IA

Past

October 29, 2007 - June 6, 2019

CETERA ADVISORS LLC

CRD#: 10299

WATERLOO, IA

Past

January 11, 2006 - October 31, 2007

EDWARD JONES

RIA

CRD#: 250

CEDAR FALLS, IA

Past

May 16, 2000 - October 31, 2007

EDWARD JONES

CRD#: 250

CEDAR FALLS, IA

Past

July 14, 1998 - May 18, 2000

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

KEYSTONE WEALTH MANAGEMENT

KEYSTONE WEALTH MANAGEMENT | KEYSTONE WEALTH MANAGEMENT INC.

CRD#: 304133 / SEC#: 801-134233

RIA

Registered Investment Advisory firm - (9/30/2025 Approved)

Illinois

Registered Investment Advisory firm - (12/7/2023 Terminated)

Iowa

Registered Investment Advisory firm - (10/30/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (10/27/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/24/2025 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

Iowa
(6/4/2019)

IAR

Minnesota
(12/19/2024)

IAR

Texas
(5/5/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/1998

General Securities Representative Examination

Current Firm

KEYSTONE WEALTH MANAGEMENT

KEYSTONE WEALTH MANAGEMENT | KEYSTONE WEALTH MANAGEMENT INC.

CRD#: 304133 / SEC#: 801-134233

RIA

Registered Investment Advisory firm - (9/30/2025 Approved)

Illinois

Registered Investment Advisory firm - (12/7/2023 Terminated)

Iowa

Registered Investment Advisory firm - (10/30/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (10/27/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/24/2025 Terminated)

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Contact information

Main Address

999 Home Plaza Suite 100g, Waterloo, IA 50701

Mailing Address

Phone number

(319) 883-3096

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2: FIRM BROCHURE (9/18/2025)

Regulatory assets under management

Total Number of Accounts	545
AUM (Assets Under Management)	$ 130,152,516

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.

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Advisor Monitoring

Firm Stability Insights

David M. Becker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Becker's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA ADVISORS LLC

CETERA ADVISORS LLC

EDWARD JONES

EDWARD JONES

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

KEYSTONE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/2006

Series 63

Date: 7/17/1998

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/13/1998

Current Firm

KEYSTONE WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYSTONE WEALTH MANAGEMENT

TRUST BUT VERIFY

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