Michael T. 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.
Michael Taylor Becker was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 8 firms and has passed the Series 63, Series 5 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
February 4, 2013 - April 2, 2013
SOFI SECURITIES LLC
November 19, 2009 - December 20, 2010
WELLINGTON SHIELDS & CO., LLC
October 26, 2007 - December 11, 2009
SHIELDS & COMPANY
July 20, 2000 - November 22, 2005
SHIELDS & COMPANY
June 29, 1998 - June 22, 2000
UBS SECURITIES LLC
April 25, 1994 - June 29, 1998
SBC WARBURG DILLON READ INC.
February 9, 1988 - May 6, 1994
CITIGROUP GLOBAL MARKETS INC.
February 14, 1983 - February 20, 1988
KIDDER, PEABODY & CO. INCORPORATED
August 17, 1981 - February 2, 1983
WILLIAM BLAIR
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
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
SOFI SECURITIES LLC
CRD#: 151717 / SEC#: , 8-68389
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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