Rodney A. Becker

WHIPPLEWOOD ADVISORS

Littleton, CO 80127

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CRD#: 5199495

Professional summary

Rodney Arin Becker, CFP®, who also goes by Rodney A Becker, is a registered financial advisor currently at WHIPPLEWOOD ADVISORS, LLC located in Littleton, Colorado and DMK ADVISOR GROUP, INC. located in Lutz, Florida.

Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Rodney has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rodney A 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.

Whipplewood Advisors: I conduct my investment related advisory business through this firm. Address: 11852 Shaffer Dr Building B, Littleton, CO 80127 Nature of the business: Investment management and financial planning for individuals. Position/title: Financial advisor; I am an employee of Whipplewood AdvisorsStart Date: 10/20/2020. Hours: 35-45 hours a week; most business hours will be devoted to this advisory business. Duties: Client service, investment management, financial planning. Rodney A Becker holds an insurance license to sell insurance products with various carriers. It is anticipated that a small portion less than 5% of his time will be spent providing these insurance products. He may receive compensation from selling insurance products. Rosco P Coltrane, LLC, family business; not investment related; no compensation, less than 5% of his time monthly.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Arin 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®

CFP^®

Certified Financial Planner

Experience

Current

October 20, 2020 - Present

WHIPPLEWOOD ADVISORS, LLC

Office #1: 11852 Shaffer Drive Building B, Littleton, CO 80127

RIA

CRD#: 282860

Littleton, CO

Current

October 20, 2020 - Present

DMK ADVISOR GROUP, INC.

Office #1: 17961 Hunting Bow Circle Suite 102, Lutz, FL 33558

RIA

CRD#: 41067

Lutz, FL

Past

September 9, 2014 - October 21, 2020

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

GREENWOOD VILLAGE, CO

Past

August 5, 2014 - August 18, 2014

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

GREENWOOD VILLAGE, CO

Past

August 5, 2014 - October 21, 2020

FFEC WEALTH PARTNERS LLC

CRD#: 16507

GREENWOOD VILLAGE, CO

Past

November 30, 2006 - July 30, 2014

EDWARD JONES

RIA

CRD#: 250

DENVER, CO

Past

September 26, 2006 - July 30, 2014

EDWARD JONES

CRD#: 250

DENVER, CO

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".

WHIPPLEWOOD ADVISORS, LLC

CRD#: 282860 / SEC#: 801-119590

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(10/20/2020)

IAR

Colorado
(10/20/2020)

Colorado
(10/21/2020)

Florida
(10/20/2020)

Iowa
(10/23/2020)

Michigan
(11/10/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/9/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WHIPPLEWOOD ADVISORS, LLC

CRD#: 282860 / SEC#: 801-119590

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2020 Terminated)

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Contact information

Main Address

11852 Shaffer Drive Building B, Littleton, CO 80127

Mailing Address

Phone number

(303) 989-7600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	371
AUM (Assets Under Management)	$ 288,037,168

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.

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Advisor Monitoring

Firm Stability Insights

Rodney A. Becker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Arin Becker's CRS (Customer Relationship Summary).

Certified licenses

Experience

DMK ADVISOR GROUP, INC.

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

WHIPPLEWOOD ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2006

FINRA

Current Firm

WHIPPLEWOOD ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHIPPLEWOOD ADVISORS, LLC

TRUST BUT VERIFY

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