Bryan T. Baas
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.
Bryan Todd Baas was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1991. Bryan had worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2019 - July 20, 2021
TD AMERITRADE, INC.
September 6, 2019 - July 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 13, 2018 - July 20, 2021
TD AMERITRADE CLEARING, INC.
September 18, 2017 - September 10, 2018
SCOTTRADE, INC.
January 14, 2011 - July 20, 2021
TD AMERITRADE, INC.
January 10, 2003 - January 11, 2011
NATIONAL FINANCIAL SERVICES LLC
December 3, 1991 - December 31, 2002
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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