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SB

Sean C. Becker

RBC ROCHDALE
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 6124219
SB

Professional summary

Sean Christian Becker, who also goes by Sean Christian Decker, is a registered financial advisor currently at RBC ROCHDALE, LLC located in La Jolla, California and CNR SECURITIES, LLC located in La Jolla, California.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Sean has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sean Christian Decker

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Christian 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®
None

Experience

Current

December 7, 2012 - Present

RBC ROCHDALE, LLC

Office #1: 4275 Executive Square Suite 335, La Jolla, CA 92037
RIA
CRD#: 117198
La Jolla, CA
Current

October 29, 2012 - Present

CNR SECURITIES, LLC

Office #1: 4275 Executive Square 7th Floor, La Jolla, CA 92037
BD
CRD#: 18466
La Jolla, CA

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".
RR
RBC ROCHDALE, LLC
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | RBC ROCHDALE, LLC | RBC ROCHDALE | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)

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.
RR
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

RR
California
(12/7/2012)
IAR
California
(12/7/2012)
IAR
New York
(4/5/2021)
RR
Pennsylvania
(4/20/2021)
IAR
Texas
(4/17/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/6/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RR
RBC ROCHDALE, LLC
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | RBC ROCHDALE, LLC | RBC ROCHDALE | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
269

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RBC ROCHDALE INDEPENDENT CHANNEL BROCHURE (1/29/2026)
RBC ROCHDALE BANK CHANNEL BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts42,671
AUM (Assets Under Management)$ 72,960,498,578

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/25/2026
Cover Page
Report
01/28/2025
Cover Page
Report
10/27/2023
Cover Page
Report

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.

Company Information

RBC ROCHDALE, LLC

CRD#: 117198La Jolla, CA 92037

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