Joseph R. Becker
Professional summary
Joseph Richardson Becker, who also goes by Joe Becker, Joseph Richardson Becker, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Wheaton, Illinois.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Richardson Becker's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 28, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 200 W Front St, Wheaton, IL 60187December 24, 2019 - July 26, 2022
MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC
June 18, 2015 - December 31, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
August 29, 2008 - July 23, 2009
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
August 19, 2008 - April 2, 2015
INVESCO DISTRIBUTORS, INC.
May 14, 2007 - August 4, 2008
CALAMOS FINANCIAL SERVICES LLC
May 11, 2007 - November 20, 2007
CALAMOS ADVISORS LLC
October 20, 2005 - June 23, 2006
GUGGENHEIM INVESTMENTS
September 21, 2005 - June 23, 2006
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
December 8, 1999 - August 15, 2001
TD AMERITRADE, 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
(7/28/2022)
Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
