Forest Wright Becker
Professional Summary
Forest Wright Becker is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Minneapolis, Minnesota. Forest is registered as a RR (Registered Representative) and started their career in finance in 2012. Forest has worked at 1 firm and has passed the SIE and Series 99 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
Years of Experience
14 years in the financial services industry
Current & Past Employments
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
Current Firm
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
Contact Information
Main Address
200 Vesey St., New York, NY 10281Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401Phone Number
(612) 371-2811Established
Minnesota since 11/01/2010Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
Large# of Employees
8,781SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | — |
| ARMSTRONG, ROBERT MICHAEL | CEO, WEALTH MANAGEMENT | 1530547 |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| RICATTI, JENNIFER LEE | PRINCIPAL FINANCIAL OFFICER | 4404128 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
Regulatory Assets Under Management
Total Number of Accounts
511,871AUM (Assets Under Management)
$310,428,968,904Disclosures
Regulatory Event
379Civil Event
3Arbitration
114Bond
7Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | Cover Page | Report |
| 08/27/2024 | Cover Page | Report |
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
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.
The advisor shows no other business activity.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Forest Wright Becker's CRS (Customer Relationship Summary).
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
