Paul Basballe
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.
Paul Basballe was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2010 - December 31, 2010
ADVISORS GROUP, INC.
April 21, 2004 - May 15, 2023
GENEOS WEALTH MANAGEMENT, INC.
April 2, 2004 - May 15, 2023
GENEOS WEALTH MANAGEMENT, INC.
January 6, 2004 - April 2, 2004
UNITED SECURITIES ALLIANCE, INC.
October 15, 2003 - October 15, 2003
UNITED SECURITIES ALLIANCE, INC.
October 15, 2003 - April 2, 2004
UNITED SECURITIES ALLIANCE, INC.
August 3, 2001 - November 11, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 11, 1994 - August 3, 2001
CETERA ADVISORS LLC
January 2, 1991 - November 15, 1994
CETERA WEALTH SERVICES, LLC
December 4, 1989 - December 31, 1990
FIRST PACIFIC CAPITAL CORPORATION
February 3, 1988 - December 5, 1989
LPL FINANCIAL LLC
December 6, 1985 - February 17, 1988
WADDELL & REED
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
No current employment
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.
