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HB

Harry E. Bassett

Some features on this profile are disabled
CRD#: 2649512
HB

Professional summary

Harry Edward Bassett III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Harry is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Harry had worked at 2 firms, which includes VISTA SECURITIES INC., BG CAPITAL INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

H Edward Bassett Iii

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 11, 1997 - December 10, 1997

VISTA SECURITIES INC.

BD
CRD#: 36706
GARDEN CITY, NY
Past

November 19, 1996 - October 31, 1997

BG CAPITAL, INC.

BD
CRD#: 31069
SYOSSET, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1995
General Securities Representative Examination

Current Firm

VS
VISTA SECURITIES INC.
NIV INC | VISTA SECURITIES INC.

CRD#: 36706 / SEC#: , 8-47359

BD
Terminated by SEC on 04/04/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/22/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

VISTA SECURITIES INC.

CRD#: 36706

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