Richard Becker
Richard Becker is a CFP-designated registered investment advisor at Gwn Securities INC., based in Katy, TX, with 18 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 37,091 clients with $3.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
GWN Securities offers several managed account programs with fees based on a percentage of your portfolio's value. These fees are typically billed quarterly. The specific fees vary depending on the program you choose and the amount you invest. Some programs have minimum account sizes and platform fees. GWN's fees do not include brokerage and custodial services. GWN may also recommend third-party money managers, which will result in additional fees.
Location
2717 Commercial Center Blvd., Suite E200, Katy, TX, 77494
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard is a general partner in an insurance sales and services business, focusing on life, health, and annuity lines, dedicating about a quarter of his time. He is also a general partner at American Tax Group, receiving referrals for tax services, and participates in Dave Ramsey's SmartVestor Pro program. Richard is also a financial professional at Texas Retirement Planners, spending nearly full-time hours, and a member of Foundation for Financial Independence, volunteering in financial literacy. Finally, he is an author and writer, receiving compensation from book sales and media appearances.
Employment History
Current Registrations
Gwn Securities INC.
Gwn Securities INC.Broker
Previous Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Gwn Securities INC.
Planmember Securities Corporation
Planmember Securities CorporationBroker
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.Broker
Waddell & Reed, INC.
Waddell & Reed, INC.Broker
Prudential Securities IncorporatedBroker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.