Michael I. 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 Ivan Becker was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, PC, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2002 - October 6, 2021
BEECH HILL SECURITIES, INC.
February 1, 2000 - April 18, 2002
J.P. MORGAN SECURITIES INC.
September 25, 1995 - February 1, 2000
HAMBRECHT & QUIST LLC
July 31, 1993 - September 29, 1995
CITIGROUP GLOBAL MARKETS INC.
October 10, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 1, 1981 - July 31, 1993
LEHMAN BROTHERS INC.
January 31, 1980 - June 17, 1981
UBS FINANCIAL SERVICES INC.
February 23, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 26, 1978 - February 5, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/15/2002
Limited Representative-Equity Trader ExamPC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
BEECH HILL SECURITIES, INC.
CRD#: 24771 / SEC#: , 8-41389
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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