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JB

Joseph Becker

GOLDMAN SACHS & CO.
Wheaton, IL 60187
Some features on this profile are disabled
CRD#: 4050968
JB

Professional summary

Joseph Becker, who also goes by Joe Becker, Joseph Richardson Becker, is a registered financial professional currently at GOLDMAN SACHS & CO. 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 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Becker | Joseph Richardson 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) - BD

Click below to view Joseph 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®
None

Experience

Current

April 1, 2026 - Present

GOLDMAN SACHS & CO. LLC

Office #1: 200 W Front St, Wheaton, IL 60187
RIA
BD
CRD#: 361
Wheaton, IL
Past

July 28, 2022 - April 1, 2026

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Wheaton, IL
Past

December 24, 2019 - July 26, 2022

MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 292521
CHICAGO, IL
Past

June 18, 2015 - December 31, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

August 29, 2008 - July 23, 2009

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA
CRD#: 109264
HOUSTON, TX
Past

August 19, 2008 - April 2, 2015

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
DOWNERS GROVE, IL
Past

May 14, 2007 - August 4, 2008

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

May 11, 2007 - November 20, 2007

CALAMOS ADVISORS LLC

RIA
CRD#: 105758
NAPERVILLE, IL
Past

October 20, 2005 - June 23, 2006

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
LISLE, IL
Past

September 21, 2005 - June 23, 2006

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

December 8, 1999 - August 15, 2001

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

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".
GOLDMAN SACHS & CO. LLC
GOLDMAN SACHS & CO. LLC
GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")

CRD#: 361 / SEC#: 801-16048, 8-129

RIA
Registered Investment Advisory firm - SEC (5/13/1981 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Illinois
(4/1/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/4/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/7/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/29/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/26/2011
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/8/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/1/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

GOLDMAN SACHS & CO. LLC
GOLDMAN SACHS & CO. LLC
GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")

CRD#: 361 / SEC#: 801-16048, 8-129

RIA
Registered Investment Advisory firm - SEC (5/13/1981 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 West Street, New York, NY 10282
Mailing Address
111 South Main Street, Salt Lake City, UT 84111
Phone number
(212) 902-1000
Established
New York since 01/03/1927
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
3,704

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - THIRD PARTY DISTRIBUTION (6/25/2025)
GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - MANAGED ACCOUNT STRATEGIES (6/4/2025)
GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - PRIVATE WEALTH MANAGEMENT (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
THE GOLDMAN SACHS GROUP, INC.CLASS A MEMBER
COLEMAN, DENIS PATRICK IIIMANAGING DIRECTOR, MANAGER2782373
DOYLE, BRIAN RICHARDMANAGING DIRECTOR, CFO6003685
GREEFF, BRIAN MICHAELCO-PRINCIPAL OPERATIONS OFFICER4273392
MATTHIAS, THOMAS FAIRBANKSCHIEF COMPLIANCE OFFICER2872690
MCCASKILL, MARKMANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER3272131
RUEMMLER, KATHRYN HELENMANAGING DIRECTOR, CLO, MANAGER7250761
SOLOMON, DAVID MICHAELMANAGING DIRECTOR, MANAGER1616414
VENEZIA, CARMINE ANTHONYCHIEF COMPLIANCE OFFICER4117304
WALDRON, JOHN EDWARDMANAGING DIRECTOR, CEO, MANAGER2569337

Regulatory assets under management

Total Number of Accounts41,782
AUM (Assets Under Management)$ 114,897,715,726

Disclosures

Regulatory Event409
Civil Event4
Arbitration20

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/24/2025
Cover Page
Report
09/25/2024
Cover Page
Report
11/17/2023
Cover Page
Report

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.

Company Information

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS & CO. LLC

CRD#: 361Wheaton, IL 60187

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