Lukas W. 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.
Lukas William Becker, CFP®, who also goes by Luke Becker, was a registered financial professional .
Lukas is a previously registered financial professional and started their career in finance in 2010. Lukas had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2018 - August 24, 2020
SWAN GLOBAL MANAGEMENT
January 8, 2018 - April 13, 2018
USAA INVESTMENT SERVICES COMPANY
October 23, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
October 23, 2014 - April 2, 2018
USAA FINANCIAL ADVISORS, INC.
June 3, 2013 - September 12, 2014
CETERA WEALTH SERVICES, LLC
November 2, 2010 - September 12, 2014
CETERA WEALTH SERVICES, LLC
Primary Firm SEC Registration
SWAN GLOBAL MANAGEMENT
CRD#: 173621 / SEC#: 801-80552
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
SWAN GLOBAL MANAGEMENT
CRD#: 173621 / SEC#: 801-80552
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,969 |
| AUM (Assets Under Management) | $ 2,406,792,590 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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