Robert S. Basso
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.
Robert Stephen Basso was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 41, PC, Series 1, Series 40 and Series 12 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, 2017 - July 19, 2017
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
April 8, 2010 - September 15, 2017
WFG INVESTMENTS, INC.
September 19, 2005 - April 13, 2010
MOORS & CABOT, INC.
January 27, 2005 - September 13, 2005
MOORS & CABOT, INC.
November 18, 2003 - January 28, 2005
NATIONAL FINANCIAL SERVICES LLC
September 16, 1996 - July 1, 2003
UBS FINANCIAL SERVICES INC.
August 16, 1990 - November 15, 2004
CORRESPONDENT SERVICES CORPORATION
April 11, 1990 - April 10, 1991
UBS FINANCIAL SERVICES INC.
May 31, 1983 - August 8, 1990
BROADCORT CAPITAL CORP.
April 20, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 20, 1977 - February 17, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 1969 - November 11, 1976
LOEB RHOADES & CO
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 41
Date: 12/8/1983
NYSE Allied Member ExaminationPC
Date: 9/20/1977
AMEX Put and Call ExamSeries 1
Date: 4/18/1969
Registered Representative ExaminationSeries 40
Date: 12/16/1971
Registered Principal ExaminationSeries 12
Date: 12/13/1971
NYSE Branch Manager ExaminationCurrent Firm
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
CRD#: 37466 / SEC#: , 8-47758
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
