William H. Bascom
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.
William Howard Bascom, who also goes by Bill Bascom, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 11 firms and has passed the Series 6, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2011 - December 31, 2011
PLANMEMBER SECURITIES CORPORATION
November 15, 2000 - August 29, 2001
PLANMEMBER SECURITIES CORPORATION
April 1, 1996 - November 16, 1998
CITISTREET EQUITIES LLC
September 30, 1993 - April 1, 1996
WOODBURY FINANCIAL SERVICES, INC.
June 11, 1992 - September 28, 1993
METLIFE INVESTORS DISTRIBUTION COMPANY
April 24, 1990 - November 1, 1991
CAPITAL RESEARCH CORPORATION
March 2, 1989 - May 16, 1990
CONSECO EQUITY SALES, INC.
January 23, 1987 - July 28, 1988
UR FINANCIAL, INC.
April 2, 1979 - December 31, 1987
CONSECO FINANCIAL SERVICES, INC.
May 9, 1975 - October 17, 1979
TOWER SQUARE SECURITIES, INC.
September 18, 1973 - October 20, 1979
VOYAGER SECURITIES, INC.
June 22, 1973 - July 22, 1979
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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 1
Date: 6/16/1973
Registered Representative ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
