Mary C. Becker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Colleen Becker, who also goes by Mary Colleen Lokey, Mary Colleen Owens, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2007. Mary had worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2011 - July 30, 2012
PURSHE KAPLAN STERLING INVESTMENTS
August 16, 2010 - September 26, 2011
MSI FINANCIAL SERVICES, INC.
November 16, 2009 - September 26, 2011
MSI FINANCIAL SERVICES, INC.
August 14, 2008 - November 12, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
July 28, 2008 - November 12, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
November 7, 2007 - May 19, 2008
J. COLE FINANCIAL ADVISERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
