Mark D. Basquez
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.
Mark Donald Basquez was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2003 - December 1, 2003
NEXCORE CAPITAL, INC.
June 22, 1987 - July 31, 2000
FIRST WALL STREET CORP.
December 9, 1985 - March 16, 1987
AMERICAN HERITAGE SECURITIES CORPORATION
November 19, 1985 - January 17, 1986
INTERFIRST CAPITAL CORPORATION
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
NEXCORE CAPITAL, INC.
CRD#: 31893 / SEC#: , 8-45570
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
