Michael M. Bastian
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.
Michael Maurice Bastian, who also goes by Michael M Bastian, Mike Bastian, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 3 firms and has passed the 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
August 24, 2009 - October 18, 2012
FCA ADVISORS, INC.
December 13, 2007 - March 26, 2009
BANC OF AMERICA SECURITIES LLC
January 13, 2004 - May 29, 2008
LASALLE FINANCIAL SERVICES, 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
FCA ADVISORS, INC.
CRD#: 143137 / SEC#: , 8-67528
Contact information
FINRA licenses (4 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
