Aaron S. Becker
Professional summary
Aaron S Becker is a registered financial professional currently at LUMENT SECURITIES, LLC located in West Conshohocken, Pennsylvania.
Aaron is registered as a RR (Registered Representative) and started their career in finance in 2004. Aaron has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Aaron S Becker's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2019 - Present
LUMENT SECURITIES, LLC
Office #1: 1001 Conshohocken State Rd Suite 1-201, West Conshohocken, PA 19428March 28, 2011 - January 2, 2019
LANCASTER POLLARD & CO., LLC
January 5, 2009 - March 7, 2011
SIXPOINT PARTNERS LLC
November 3, 2004 - October 21, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
Red Flags
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