Leighton T. Bascom
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.
Leighton Tosh Bascom, who also goes by Leighton T Bascom, was a registered financial professional .
Leighton is a previously registered financial professional and started their career in finance in 1988. Leighton had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2011 - December 18, 2012
MASECO PRIVATE WEALTH
August 5, 2005 - December 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 11, 2003 - May 4, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 20, 1993 - August 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 20, 1988 - August 13, 1993
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MASECO PRIVATE WEALTH
CRD#: 147686 / SEC#: 801-69385
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
MASECO PRIVATE WEALTH
CRD#: 147686 / SEC#: 801-69385
Contact information
SEC notice filing (31 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,554 |
| AUM (Assets Under Management) | $ 3,829,868,260 |
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.
