Harley S. Bassman
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.
Harley Steven Bassman was a registered financial professional .
Harley is a previously registered financial professional and started their career in finance in 1983. Harley had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 24 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
November 11, 2011 - July 7, 2014
CREDIT SUISSE SECURITIES (USA) LLC
January 5, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
October 4, 2006 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1987 - September 6, 2011
MERRILL LYNCH GOVERNMENT SECURITIES INC.
September 5, 1985 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 1984 - March 15, 1985
GRUNTAL & CO., L.L.C.
December 21, 1983 - November 7, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
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: 12/21/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
