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Lisa L Becker
LISA LYNN BECKER, LISA FOXWORTHY
CRD#: 4857404
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AE WEALTH MANAGEMENT, LLCCRD#: 282580 2950 SW McClure Road
Topeka, KS 66614
Topeka, KS 66614
AE FINANCIAL SERVICES, LLCCRD#: 298608 2950 SW McClure Rd
Ste B
Topeka, KS 66614
Ste B
Topeka, KS 66614
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Disclosures
11
Years of Experience
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State Registrations
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Kansas 9/15/2020
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Kansas 11/1/2023
SRO Registrations
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Registered with this firm since 11/1/2023
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Registered with this firm since 9/15/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/14/2018 - 11/12/2018 | Topeka, KS | |
B | 09/09/2014 - 04/11/2017 | Topeka, KS | |
B | 07/09/2010 - 09/10/2014 | TOPEKA, KS |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.