Preston H. 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.
Preston Hunter Bass was a registered financial professional .
Preston is a previously registered financial professional and started their career in finance in 1983. Preston had worked at 3 firms and has passed the Series 65, Series 63, Series 7 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
February 24, 1986 - April 1, 1997
BRANCH, CABELL & CO., INC.
March 27, 1985 - February 24, 1986
STRADER & COMPANY, INCORPORATED
December 9, 1983 - January 22, 1985
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
BRANCH, CABELL & CO., INC.
CRD#: 6820 / SEC#: , 8-7165
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TUCKER ANTHONY SUTRO | PARENT | |
| CAMPBELL, KENNETH RICHARD III | CCO | 2056286 |
| ENOCH, JACK MARTIN JR | DIRECTOR | 1237412 |
| FRANK, ANTHONY JON | DIRECTOR & SENIOR MANAGING DIRECTOR | 212715 |
| GOLDSMITH, JOHN | DIRECTOR | 224462 |
| HUSKE, LEIGHTON III | DIRECTOR AND SENIOR MANAGING DIRECTOR | 253893 |
| LUCAS, ANDREW JOHN | DIRECTOR | 501705 |
| MILLER, HENRY ROBERTS IV | DIRECTOR | 840580 |
| ROBERTS, CHARLES RICHARD | CEO, PRESIDENT, DIRECTOR | 846282 |
| SMITH, ANTHONY EDWARD | DIRECTOR | 858687 |
| THOMPSON, EDWARD HUNTER JR | DIRECTOR | 445674 |
| YEVICH, ROBERT HUDSCO | EXECUTIVE VICE PRESIDENT, DIRECTOR | 474477 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
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.
