David H. Becerra
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.
David Herman Becerra, who also goes by David H Becerra, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 4 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
November 18, 2003 - August 10, 2004
GUNNALLEN FINANCIAL, INC
January 4, 2002 - January 2, 2004
LH ROSS & COMPANY, INC.
November 8, 2001 - January 22, 2002
NEWBRIDGE SECURITIES CORPORATION
May 4, 2001 - May 16, 2001
PREFERRED SECURITIES GROUP, 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
