Theodore D. Baszler
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.
Theodore Deitche Baszler, who also goes by Theodore Dietche Baszler, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1988. Theodore had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2017 - July 7, 2020
LEGACY CAPITAL PARTNERS, INC.
December 7, 2015 - November 1, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 4, 2015 - November 1, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 1, 2007 - February 5, 2015
ALPS DISTRIBUTORS, INC.
January 10, 2002 - February 6, 2015
HEARTLAND ADVISORS, INC.
December 21, 2001 - July 31, 2007
HEARTLAND INVESTOR SERVICES, LLC
July 30, 1994 - December 21, 2001
HEARTLAND ADVISORS, INC.
February 23, 1988 - October 29, 1990
AMERICAN BEACON PARTNERS, 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
Current Firm
LEGACY CAPITAL PARTNERS, INC.
CRD#: 105735 / SEC#: 801-8846
Contact information
Regulatory assets under management
| Total Number of Accounts | 192 |
| AUM (Assets Under Management) | $ 493,640,639 |
Red Flags
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