Thomas P. Bass
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.
Thomas Peter Bass was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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 14, 2007 - June 18, 2012
DAWSON JAMES SECURITIES, INC.
September 24, 2003 - June 14, 2007
NORTH COAST SECURITIES CORPORATION
September 12, 2000 - January 9, 2004
FIRST ALLIED SECURITIES, INC.
November 30, 1999 - September 12, 2000
FSC SECURITIES CORPORATION
August 29, 1995 - November 17, 1999
FAIRCHILD FINANCIAL GROUP, INC.
August 1, 1995 - August 17, 1995
RICKEL & 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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 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.
