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Douglas Michael Becker

Wells Fargo Clearing Services, LLC

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About Douglas Michael Becker

Douglas Becker is a financial professional with over 40 years of experience in the industry. Douglas has been a registered representative with Ameriprise Financial Services, LLC, Commonwealth Financial Network, Prudential Securities Incorporated, Gruntal & Co. Incorporated, Advest, Inc., Moseley, Hallgarten, Estabrook & Weeden, Inc., and E.F. Hutton & Company Inc. Currently, Douglas is a Registered Representative with Wells Fargo Clearing Services, LLC. Douglas is also a licensed Investment Advisor Representative. Douglas is a Series 3, 7, 10, 24, 63, and 65 licensed professional.

Firm Information

Douglas Becker is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Douglas Becker’s Registration & Firm History

NH

09/21/2022 - Present

Wells Fargo Clearing Services, LLC (PORTSMOUTH NH)

MN

09/01/2011 - 09/29/2022

AMERIPRISE FINANCIAL SERVICES, LLC (MINNEAPOLIS MN)

ME

01/02/1998 - 09/01/2011

COMMONWEALTH FINANCIAL NETWORK (SACO ME)

NY

06/22/1994 - 01/06/1998

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

01/25/1990 - 06/27/1994

GRUNTAL & CO. INCORPORATED (NEW YORK NY)

CT

03/22/1985 - 02/15/1990

ADVEST, INC. (HARTFORD CT)

NA

10/07/1983 - 04/01/1985

MOSELEY, HALLGARTEN, ESTABROOK & WEEDEN, INC.

NA

02/01/1979 - 10/13/1983

E. F. HUTTON & COMPANY INC

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Licenses & Designations

IA

Issued 11/27/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/25/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 09/15/1998

Series 24 - General Securities Principal Examination

BC

Issued 11/01/1990

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/1987

Series 3 - National Commodity Futures Examination

BC

Issued 01/20/1979

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Douglas Michael Becker.
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