Richard Alan Becker
Professional Summary
Richard Alan Becker, who also goes by Rick Becker, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Becker
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
SUNDIAL GROUP, LLC
Contact Information
Main Address
200 East Broward Boulevard Suite 1200, Ft. Lauderdale, FL 33301Mailing Address
200 East Broward Boulevard Suite 1200, Ft. Lauderdale, FL 33301Phone Number
(954) 990-6209Established
Florida since 04/27/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOUNTAINSIDE HOLDINGS, LLC | MANAGING MEMEBR | — |
| BRITTON, WILLIAM ROBERT | PRESIDENT/ CEO/ CCO/ ELECTED MANAGER | — |
| BURNS, DAVID CARROLL | PRINCIPAL/ ELECTED MANAGER | — |
| JOHNSON, KRISTY KAY | FINOP/CFO | 4470948 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/25/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jan 2013About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Alan Becker's CRS (Customer Relationship Summary).
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