Douglas G. Bashaw
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.
Douglas Grant Bashaw, who also goes by Doug Bashaw, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 8 firms and has passed the Series 65, Series 63, 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
June 7, 2013 - July 1, 2020
ALLSTATE FINANCIAL ADVISORS, LLC
June 3, 2013 - July 1, 2020
ALLSTATE FINANCIAL SERVICES, LLC
June 17, 2011 - May 1, 2013
PRINCIPAL SECURITIES, INC.
May 6, 2011 - May 1, 2013
PRINCIPAL SECURITIES, INC.
July 17, 2009 - October 1, 2010
MML INVESTORS SERVICES, LLC
May 22, 2009 - October 1, 2010
MML INVESTORS SERVICES, LLC
March 7, 2006 - May 20, 2009
EQUITABLE ADVISORS, LLC
February 28, 2006 - May 20, 2009
EQUITABLE ADVISORS, LLC
June 6, 2005 - March 29, 2006
WOODBURY FINANCIAL SERVICES, INC.
January 14, 2004 - June 7, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
January 23, 2003 - December 31, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
March 30, 1995 - August 3, 1995
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
