John Baskin
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.
John Baskin, who also goes by John Joseph Baskin, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 15 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7, Series 6 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
January 2, 2015 - June 24, 2016
CAPITAL ONE INVESTING, LLC
June 5, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
February 8, 2012 - April 30, 2014
PFS INVESTMENTS INC.
May 20, 2010 - May 25, 2010
SINCLAIR & COMPANY, LLC
May 28, 2009 - June 22, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 2009 - June 22, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 31, 2005 - September 21, 2006
CONSECO EQUITY SALES, INC.
November 5, 2003 - September 20, 2004
ARGENTUS SECURITIES, LLC
January 22, 2002 - May 22, 2002
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 23, 2001 - June 21, 2001
IAC SECURITIES, INC.
December 15, 2000 - April 20, 2001
1ST GLOBAL CAPITAL CORP.
September 11, 2000 - December 4, 2000
1ST GLOBAL CAPITAL CORP.
March 6, 2000 - November 21, 2000
FBL MARKETING SERVICES, LLC
August 4, 1997 - July 1, 1998
WELLS FARGO SECURITIES INC.
February 7, 1996 - August 7, 1997
PRUDENTIAL EQUITY GROUP, LLC
March 10, 1995 - February 1, 1996
H.J. MEYERS & CO., INC.
January 22, 1994 - September 26, 1994
FIDELITY BROKERAGE SERVICES LLC
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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
