Theodore F. Baszto
Professional summary
Theodore Francis Baszto JR, who also goes by Ted F. Baszto Jr, Theodore Frances Jr Baszto, Theodore Francis Jr Baszto, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Venice, Florida.
Theodore is registered as a RR (Registered Representative) and started their career in finance in 1992. Theodore has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Theodore Francis Baszto JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 5, 2013 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2090 Tamiami Trail S, Venice, FL 34293February 13, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
April 13, 2006 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
April 23, 2005 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 3, 1998 - April 3, 2000
IFMG SECURITIES, INC.
February 19, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 6, 1998 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
August 5, 1994 - October 1, 1997
NATCITY INSURANCE SERVICES, INC.
July 29, 1992 - August 10, 1994
IDS LIFE INSURANCE COMPANY
July 29, 1992 - August 10, 1994
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
(10/22/2013)
(8/19/2013)
Exams
FINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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