Steven W. Bastrom
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.
Steven Wayne Bastrom was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 6 firms and has passed the Series 65, Series 63 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 12, 1998 - August 19, 1999
CADARET, GRANT & CO., INC.
January 6, 1995 - February 12, 1998
FIRST ASSOCIATED SECURITIES GROUP, INC.
July 19, 1989 - January 19, 1995
TITAN/VALUE EQUITIES GROUP, INC.
May 9, 1987 - December 31, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
August 5, 1986 - May 20, 1987
PFG SECURITIES, INC.
November 26, 1984 - March 13, 1985
WARREN SECURITIES, INC.
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
