James W. Basher
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.
James Weldon Basher, who also goes by Jim Weldon Basher, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 10 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55 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
December 12, 2014 - April 18, 2024
PERSHING LLC
February 1, 2013 - January 27, 2014
COWEN EXECUTION SERVICES LLC
October 18, 2012 - February 5, 2013
FULCRUM SECURITIES, LLC
March 30, 2012 - July 3, 2012
BNY MELLON CAPITAL MARKETS, LLC
June 8, 2007 - April 3, 2012
PERSHING LLC
November 28, 2005 - March 20, 2007
VIRTU ITG LLC
March 28, 2005 - April 25, 2005
METROPOLITAN LIFE INSURANCE COMPANY
March 28, 2005 - April 25, 2005
MSI FINANCIAL SERVICES, INC.
October 28, 2003 - September 30, 2004
NATIONAL FINANCIAL SERVICES LLC
June 24, 2003 - September 30, 2004
CORRESPONDENT SERVICES CORPORATION
November 22, 1989 - July 1, 2003
UBS FINANCIAL SERVICES 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
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 3/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
