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Detailed Report
DONALD SHERMAN BECKER
DON BECKER
CRD#: 1491140
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19901992199419961998200020022004200620082010201220142016IAALLIED BEACON WEALTH MANAGEMEN... (CRD# 134922)2012 - 2013 (1 year)IAKAISER WEALTH MANAGEMENT (CRD# 111000)2008 - 2011 (3 years)IABECKER FINANCIAL GROUP (CRD# 147599)2009 - 2009 (<1 year)IABECKER FINANCIAL GROUP (CRD# 147599)2008 - 2008 (<1 year)IAWRP INVESTMENTS, INC. (CRD# 7365)2007 - 2008 (1 year)IAGENEOS WEALTH MANAGEMENT, INC. (CRD# 120894)2006 - 2007 (<1 year)
Disclosure(s)
View By:
4/15/2015
Regulatory
Final
1/21/1997
Regulatory
Final
1/19/1989
Regulatory
Final
Previous Registration(s)
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 02/13/2012 - 06/06/2013 ALLIED BEACON WEALTH MANAGEMENT, LLC (CRD#:134922) SCHAUMBURG, IL
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 04/08/2008 - 07/26/2011 KAISER WEALTH MANAGEMENT (CRD#:111000) PLANO, TX
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 01/22/2009 - 12/31/2009 BECKER FINANCIAL GROUP (CRD#:147599) PLANO, TX
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 08/26/2008 - 12/31/2008 BECKER FINANCIAL GROUP (CRD#:147599) PLANO, TX
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 03/16/2007 - 04/01/2008 WRP INVESTMENTS, INC. (CRD#:7365) PLANO, TX
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 12/04/2006 - 02/28/2007 GENEOS WEALTH MANAGEMENT, INC. (CRD#:120894) PLANO, TX
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.