David Becker is President and Chief Compliance Officer of Keystone Wealth Management, is a control person of the firm and directly owns 75% or more of it. David Becker studied at Illinois State University.
Keystone Wealth Management Inc. is a Waterloo, IA firm with $137M under management, 212 clients and 1 adviser across 2 offices, as of its June 2026 filing.
Dave Becker is Financial Advisor and Owner of Keystone Wealth Management. He is the main point of contact for client investment and portfolio questions, and he monitors and manages client accounts and communicates regularly when there are concerns or recommendations for change.
David Becker’s longest registration was 11 years at Cetera Advisors LLC (2007–2019). Before joining Keystone Wealth Management in 2019, David Becker was registered through Cetera Advisors LLC and Edward Jones.
- Keystone Wealth ManagementCurrent– present · 7 yearsWaterloo, IA · Adviser representative · Firm CRD 304133
- Cetera Advisors LLC– · 11 yearsWaterloo, IA · Adviser representative · Firm CRD 10299
- Edward Jones– · 1 yearCedar Falls, IA · Adviser representative · Firm CRD 250
Investment adviser representative registrations
David Becker is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from June 2019; the most recent is Minnesota, in December 2024.
- IowaSince 4 June 2019
- MinnesotaSince 19 December 2024
- TexasResidentSince 5 May 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 6 January 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 July 1998 |
| Series 7 | General Securities Representative Examination | 13 July 1998 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Michael Becker
- CRD
- 3063973
- Firm
- Keystone Wealth Management · CRD 304133
- Role
- President; Chief Compliance Officer
- Office
- Waterloo, IA
- Registration
- Investment adviser registration
- In the industry since
- July 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- keystonewealth.com
Where does David Becker work?
David Becker is President; Chief Compliance Officer of Keystone Wealth Management Inc., and is a control person of the firm.
Is David Becker a financial advisor?
Yes. David Becker has a current investment-adviser registration in Iowa, Minnesota and Texas, through Keystone Wealth Management since June 2019.
How many years of experience does David Becker have?
David Becker has 28 years in the financial industry, since July 1998, across 3 adviser firms.
What exams has David Becker passed?
David Becker has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 99TO. The earliest, the Series 7, was passed in July 1998. FINRA credited David Becker with the SIE, which began in October 2018.
Where did David Becker work before Keystone Wealth Management?
Before Keystone Wealth Management, David Becker was registered through Edward Jones, January 2006 to October 2007.
Where is David Becker based?
David Becker’s registered office is in Waterloo, IA.
Is David Becker registered with FINRA?
No. David Becker has no current broker registration.
How can I verify David Becker’s record?
Search CRD 3063973 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Becker’s full registration record.