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RB

Richard A. Becker

SUNDIAL GROUP
FT. LAUDERDALE, FL 33301
Some features on this profile are disabled
CRD#: 4147809
RB

Professional summary

Richard Alan Becker, who also goes by Rick Becker, is a registered financial professional currently at SUNDIAL GROUP, LLC located in Ft. Lauderdale, Florida.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 2 firms and has passed the SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick 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 Richard Alan Becker's 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

January 23, 2013 - Present

SUNDIAL GROUP, LLC

Office #1: 200 East Broward Boulevard Suite 1200, Ft. Lauderdale, FL 33301
BD
CRD#: 158367
FT. LAUDERDALE, FL
Past

December 6, 2000 - March 6, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

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
Florida
(1/25/2013)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/22/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SG
SUNDIAL GROUP, LLC
SUNDIAL GROUP, LLC

CRD#: 158367 / SEC#: , 8-68894

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
200 East Broward Boulevard Suite 1200, Ft. Lauderdale, FL 33301
Mailing Address
200 East Broward Boulevard Suite 1200, Ft. Lauderdale, FL 33301
Phone number
(954) 990-6209
Established
Florida since 04/27/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MOUNTAINSIDE HOLDINGS, LLCMANAGING MEMEBR
BRITTON, WILLIAM ROBERTPRESIDENT/ CEO/ CCO/ ELECTED MANAGER
BURNS, DAVID CARROLLPRINCIPAL/ ELECTED MANAGER
JOHNSON, KRISTY KAYFINOP/CFO4470948

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

SUNDIAL GROUP, LLC

CRD#: 158367Ft. Lauderdale, FL 33301

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