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Douglas Lee Becker

Capital ONE Securities, Inc.

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About Douglas Lee Becker

Douglas Becker is a financial advisor currently registered with Capital One Securities, Inc.. Douglas has a strong background in the financial services industry, having been registered with several firms over the years, including THE BENCHMARK COMPANY, LLC, NORTHLAND SECURITIES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, SMH CAPITAL INC., BANC OF AMERICA SECURITIES LLC, and CREDIT SUISSE FIRST BOSTON CORPORATION. Douglas Becker holds licenses for Series 63, Series 7, Series 86, and Series 87. Douglas Becker is licensed in Louisiana and Texas.

Firm Information

Douglas Becker is currently registered with Capital ONE Securities, Inc.. Capital ONE Securities, Inc. is a Corporation formed in April 2000 and approved in multiple states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

103

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Douglas Becker’s Registration & Firm History

TX

01/13/2023 - Present

Capital ONE Securities, Inc. (Houston TX)

NY

10/22/2021 - 11/15/2022

THE BENCHMARK COMPANY, LLC (NEW YORK NY)

MN

02/07/2020 - 11/03/2021

NORTHLAND SECURITIES, INC. (MINNEAPOLIS MN)

TX

12/07/2009 - 10/20/2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)

NY

03/16/2009 - 11/16/2009

SMH CAPITAL INC. (NEW YORK NY)

NY

04/17/1998 - 03/20/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

12/23/1997 - 04/24/1998

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/17/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/06/2020

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/31/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/22/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Lee Becker.
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