Brock M. Becker
SAGEVIEW ADVISORY GROUP
Newport Beach, CA 92660
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CRD#: 4425823
Professional summary
Brock Martin Becker, CFP® is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Newport Beach, California and SAGEVIEW PRIVATE CLIENT GROUP, LLC located in Newport Beach, California.
Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brock has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP LLC; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: ADVISORY BUSINESS ; POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE ; START DATE: 01/2009 ; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING. ASSET MANAGEMENT ; (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE (3) NAME OF OTHER BUSINESS: SAGEVIEW PRIVATE CLIENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 11/2014 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING
CRS (Client Relationship Summary) - RIA
Click below to view Brock Martin 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®
CFP®
Start date: 2006
Experience
Current
January 7, 2009 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660Office #2: 21925 W. Field Parkway Suite 245, Deer Park, IL 60010RIA
CRD#: 126777
Newport Beach, CA
Current
March 24, 2016 - Present
SAGEVIEW PRIVATE CLIENT GROUP, LLC
Office #1: 4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660RIA
CRD#: 134997
Newport Beach, CA
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660Office #2: 21925 W Field Parkway Suite 245, Deer Park, IL 60010RIA
CRD#: 105644
NEWPORT BEACH, CA
Current
June 7, 2002 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 21925 W Field Parkway Suite 245, Deer Park, IL 60010Office #2: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660BD
CRD#: 13572
Deer Park, IL
Past
March 9, 2015 - December 31, 2015
SAGEVIEW PRIVATE CLIENT GROUP, LLC
RIA
CRD#: 134997
IRVINE, CA
Past
October 9, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
NEWPORT BEACH, CA
Past
November 1, 2004 - August 29, 2008
CETERA ADVISORS LLC
BD
CRD#: 10299
EL SEGUNDO, CA
Past
November 1, 2004 - August 29, 2008
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
EL SEGUNDO, CA
Past
July 24, 2001 - May 15, 2002
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(1/4/2010)
RR
Alaska(8/4/2022)
RR
Arizona(12/3/2009)
RR
California(3/23/2004)
IAR
California(1/7/2009)
RR
Colorado(6/14/2010)
RR
Connecticut(1/4/2010)
RR
Delaware(3/30/2022)
RR
Florida(1/4/2010)
RR
Georgia(1/4/2010)
RR
Hawaii(1/4/2010)
RR
Idaho(5/16/2014)
RR
Illinois(1/4/2010)
IAR
Illinois(5/11/2025)
RR
Indiana(11/5/2019)
RR
Kentucky(1/3/2019)
RR
Maryland(1/4/2010)
RR
Massachusetts(1/4/2010)
RR
Michigan(1/4/2010)
RR
Minnesota(10/13/2020)
RR
Missouri(1/6/2022)
RR
Montana(8/24/2021)
RR
Nevada(1/4/2010)
RR
New Jersey(1/4/2010)
RR
New Mexico(5/22/2015)
RR
New York(1/3/2019)
RR
North Carolina(1/3/2019)
RR
Ohio(9/4/2014)
RR
Oklahoma(2/9/2022)
RR
Oregon(11/21/2017)
RR
Pennsylvania(1/4/2010)
RR
Puerto Rico(8/13/2020)
RR
South Carolina(10/12/2021)
RR
South Dakota(5/27/2025)
RR
Tennessee(3/9/2022)
RR
Texas(1/4/2010)
IAR
Texas(6/29/2023)
RR
Utah(1/4/2010)
RR
Virginia(1/4/2010)
RR
Washington(12/5/2014)
RR
Wisconsin(1/4/2010)
RR
Wyoming(12/9/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
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.
