Robert S. Basel
Professional summary
Robert Stephen Basel, who also goes by Robert S Basel, is a registered financial professional currently at TJM INVESTMENTS, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 19, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Stephen Basel's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 23, 2018 - Present
TJM INVESTMENTS, LLC
Office #1: Nyse Trading Floor 11 Wall Street, New York, NY 10005January 3, 2011 - July 2, 2018
BURKE & QUICK PARTNERS LLC
April 30, 2007 - January 10, 2011
TULLETT PREBON FINANCIAL SERVICES LLC
April 13, 2007 - May 17, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
August 7, 1991 - January 22, 2007
CITIGROUP GLOBAL MARKETS 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
(10/27/2022)
(1/6/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 19
Date: 9/6/2018
NYSE Floor Clerk - Equities ExaminationSeries 55
Date: 12/20/2000
Limited Representative-Equity Trader ExamCboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
New York Stock Exchange
Current Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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