David Michael Becker

Current Employers

Employment History

• 10/2007 → 08/2019
  Cetera Advisors Llc
  Waterloo, IA
• 05/2019 → Present
  Keystone Wealth Management Inc.
  Waterloo, IA
• 10/2007 → Present
  Keystone Wealth Management Inc.
  Waterloo, IA
• 08/2019 → 01/2023
  Purshe Kaplan Sterling Investments, Inc
  Albany, NY

Previous Registrations

• 2007-10-29 → 2019-06-06
  Cetera Advisors Llc
  Waterloo, IA
  Waterloo, IA
  Waterloo, IA
  Waterloo, IA
  Greenwood Village, CO
• 2006-01-11 → 2007-10-31
  Edward Jones
  Cedar Falls, IA

Other Businesses

1)Keystone Wealth Management. Investment Related. 999 Home Plaza Suite 100G, Waterloo, Iowa 50701. Investments, Owner. Start 6/2019. 160hrs/mo, all during trading hours. Financial Advisory. 2) Keystone Wealth Management (Fixed Insurance). Non-investment related. 999 Home Plaza Suite 100G, Waterloo, Iowa 50701. Fixed Insurance, Agent. Start 1998. 1hr/mo, all during trading hours. Selling life, annuities, and long term care. 3) Iowa Association for the Education of Young People, Investment-Related. 4400 Westown Parkway, Suite 360, West Des Moines, IA 50266. Non-profit educational association. Finance Committee Member, Start 7/2026. Approximately one hour during the month and during trading hours. Serve as an uncompensated volunteer member of the organization’s Finance Committee. Responsibilities include general financial oversight and reviewing external investment managers to ensure adherence to the committee's established investment objectives and policy guidelines. This role is strictly advisory and supervisory in nature. I do not possess or exercise discretionary authority over the association’s assets, do not select individual securities, or manage investments on the organization's behalf.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-01-06
• S63 Uniform Securities Agent State Law Examination
  1998-07-17

Other Names

• Dave Becker