Roland J. Basinski
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roland John Basinski was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1982. Roland had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2015 - November 14, 2017
FORESTERS EQUITY SERVICES, INC.
June 25, 2013 - October 17, 2014
SUNSET FINANCIAL SERVICES, INC.
January 5, 2012 - March 13, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
December 17, 1998 - December 24, 1998
DAVID LERNER ASSOCIATES, INC.
July 29, 1996 - March 22, 2011
NYLIFE SECURITIES LLC
November 28, 1995 - July 19, 1996
NATIONAL PLANNING CORPORATION
January 11, 1989 - November 15, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 20, 1988 - December 13, 1988
COMPULIFE INVESTOR SERVICES, INC.
May 25, 1983 - November 26, 1986
CADARET, GRANT & CO., INC.
November 23, 1982 - August 9, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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