Helane R. 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.
Helane Renee Becker, who also goes by Helane Renee Becker-roukas, Helane Renee Beckerroukas, was a registered financial professional .
Helane is a previously registered financial professional and started their career in finance in 1979. Helane had worked at 13 firms and has passed the Series 63, SIE, Series 86, Series 87 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
March 5, 2024 - July 30, 2025
TD SECURITIES (USA) LLC
May 17, 2013 - April 8, 2024
COWEN AND COMPANY
July 2, 2010 - May 29, 2013
COWEN SECURITIES LLC
October 30, 2008 - July 8, 2010
JESUP & LAMONT SECURITIES CORP
August 1, 2008 - October 28, 2008
CAPSTONE INVESTMENTS
February 15, 2007 - August 14, 2008
CITIGROUP GLOBAL MARKETS INC.
May 19, 2003 - February 15, 2007
THE BENCHMARK COMPANY, LLC
February 26, 1998 - May 19, 2003
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
February 21, 1995 - December 17, 1997
CITIGROUP GLOBAL MARKETS INC.
August 12, 1987 - August 8, 1994
LEHMAN BROTHERS INC.
February 19, 1986 - August 26, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
December 21, 1982 - December 13, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 25, 1982 - February 14, 1983
E. F. HUTTON & COMPANY INC
October 24, 1979 - January 3, 1982
PERSHING LLC
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
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
