Arthur L. Bascomb
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.
Arthur L Bascomb, who also goes by Arthur Lawrence Bascomb, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1992. Arthur had worked at 7 firms and has passed the Series 63, Series 86, Series 87, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2005 - May 2, 2013
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 7, 2002 - May 4, 2005
CIBC WORLD MARKETS CORP.
March 14, 2000 - July 5, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
July 15, 1997 - December 2, 1999
COREBRIDGE CAPITAL SERVICES, INC.
November 11, 1996 - July 15, 1997
SUNAMERICA SECURITIES, INC.
May 29, 1992 - August 12, 1992
H.J. MEYERS & CO., INC.
February 12, 1992 - May 29, 1992
J. W. GANT & ASSOCIATES, 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
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 2 |
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.
