Samuel Q. Bass
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.
Samuel Quincy Bass JR, who also goes by Sam Bass Jr, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1983. Samuel had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2021 - January 6, 2022
BEACON WEALTHCARE LLC
April 28, 1998 - February 17, 2021
BEACON WEALTHCARE, INC.
May 12, 1989 - April 30, 1998
FIRST UNION CAPITAL MARKETS CORP.
February 24, 1988 - May 23, 1989
THOMSON MCKINNON SECURITIES INC.
June 4, 1983 - February 24, 1988
CAROLINA SECURITIES CORPORATION
Primary Firm SEC Registration
BEACON WEALTHCARE LLC
CRD#: 312556 / SEC#: 801-120334
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
Series 8
Date: 11/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BEACON WEALTHCARE LLC
CRD#: 312556 / SEC#: 801-120334
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 879 |
| AUM (Assets Under Management) | $ 262,842,571 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
