Steven H. Bass

STEVE BASS & ASSOCIATES

Bradenton, FL 34202

CRD#: 1832090

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Professional summary

Steven Howard Bass is a registered financial advisor currently at STEVE BASS & ASSOCIATES, INC. located in Bradenton, Florida.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Steven has worked at 12 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Howard Bass's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 19, 2013 - Present

STEVE BASS & ASSOCIATES, INC.

Office #1: 9040 Town Center Parkway, Bradenton, FL 34202

RIA

CRD#: 127676

Bradenton, FL

Past

September 5, 2003 - December 31, 2004

STEVE BASS & ASSOCIATES, INC.

RIA

CRD#: 127676

POINT OF ROCKS, MD

Past

January 14, 2003 - April 30, 2003

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

HANOVER, PA

Past

August 5, 2002 - April 30, 2003

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

October 21, 1999 - August 8, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 18, 1998 - March 22, 1999

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

September 6, 1996 - September 14, 1998

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

May 13, 1996 - August 16, 1996

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 23, 1996 - April 29, 1996

T.H.E. FINANCIAL GROUP, LTD

CRD#: 14720

MECHANICSBURG, PA

Past

August 17, 1994 - October 16, 1995

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

May 4, 1994 - August 25, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 14, 1993 - May 26, 1994

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

August 29, 1988 - October 4, 1989

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(4/17/2023)

IAR

Maryland
(2/19/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/24/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/13/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

STEVE BASS & ASSOCIATES, INC.

CRD#: 127676 / SEC#:

Florida

Registered Investment Advisory firm - (4/17/2023 Approved)

Maryland

Registered Investment Advisory firm - (8/19/2003 Approved)

Virginia

Registered Investment Advisory firm - (12/4/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Reisterstown, MD

Mailing Address

100 Nob Hill Park Dr, Reisterstown, MD 21136

Phone number

(410) 805-3038

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 5,405,518

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.

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Advisor Monitoring

Firm Stability Insights

Steven H. Bass

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Howard Bass's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEVE BASS & ASSOCIATES, INC.

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

MORGAN STANLEY DW INC.

THE ADVISORS GROUP, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAPITAL BROKERAGE CORPORATION

T.H.E. FINANCIAL GROUP, LTD

KMS FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MONEY CONCEPTS CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/2003

Series 63

Date: 2/11/1994

Series 31

Date: 11/24/1999

Series 7

Date: 12/13/1993

Series 6

Date: 8/26/1988

Current Firm

STEVE BASS & ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STEVE BASS & ASSOCIATES, INC.

TRUST BUT VERIFY

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