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Harry Edward Bassett Iii

CRD# 2649512·Registered 1996 - 1997
Barred: Harry Edward Bassett III was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Harry Edward Bassett III, who also goes by H Edward Bassett III, was a registered financial advisor. Harry was a previously registered financial professional and started their career in finance 1996 - 1997. Harry had worked at 2 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

H Edward Bassett Iii

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

VISTA SECURITIES INC.·CRD# 36706
BD
Garden City, NY
August 11, 1997 - December 10, 1997
BG CAPITAL, INC.·CRD# 31069
BD
Syosset, NY
November 19, 1996 - October 31, 1997

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Current Firm

VS
VISTA SECURITIES INC.

NIV INC | VISTA SECURITIES INC.

CRD#: 36706 / SEC#: 8-47359
BD
Terminated by SEC on 04/04/1998

Contact Information

Established

New York since 09/22/1993

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1995About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1995About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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