Andrew L. Basek
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.
Andrew Lee Basek, who also goes by Drew Basek, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1994. Andrew had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2014 - November 18, 2015
IA SECURITIES (USA) INC.
October 27, 2010 - September 9, 2014
RESEARCH CAPITAL USA INC.
September 20, 1999 - February 18, 2010
VIII CAPITAL CORP.
January 24, 1997 - September 30, 1999
NBC INTERNATIONAL (USA) LTD.
September 10, 1994 - August 2, 1995
DEUTSCHE BANK SECURITIES 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
IA SECURITIES (USA) INC.
CRD#: 135721 / SEC#: , 8-66944
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL ALLIANCE INSURANCE AND FINANCIAL SERVICES INC | OWNER | |
| SMITH, MICHAEL ROTHWELL | CEO, DIRECTOR & CHIEF COMPLIANCE OFFICER | 5417569 |
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.
