Christopher A. Basque
Professional summary
Christopher A Basque, who also goes by Chris A Basque, Chris Allan Basque, Christopher A Basque, Christopher Allan Basque, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Phoenix, Arizona and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Phoenix, Arizona.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 18 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher A Basque's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2700 North Central Avenue 12th Floor, Phoenix, AZ, 85004November 6, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2700 North Central Avenue 12th Floor, Phoenix, AZ, 85004March 2, 2022 - July 13, 2023
TRIAD ADVISORS LLC
February 28, 2022 - July 13, 2023
TRIAD ADVISORS LLC
June 2, 2021 - August 18, 2021
FIDELITY BROKERAGE SERVICES LLC
October 13, 2020 - December 14, 2020
ASSETMARK, INC.
October 9, 2020 - December 14, 2020
ASSETMARK BROKERAGE, LLC
July 15, 2020 - August 21, 2020
CHARLES SCHWAB & CO., INC.
July 15, 2020 - August 21, 2020
CHARLES SCHWAB & CO., INC.
April 9, 2020 - April 30, 2020
USAA FINANCIAL ADVISORS, INC.
April 8, 2020 - April 30, 2020
USAA INVESTMENT SERVICES COMPANY
July 24, 2017 - February 25, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 25, 2017 - February 25, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 27, 2016 - January 10, 2017
MORGAN STANLEY
July 27, 2016 - January 10, 2017
MORGAN STANLEY
April 11, 2016 - August 10, 2016
ERNST & YOUNG INVESTMENT ADVISERS LLP
March 12, 2015 - February 16, 2016
INVEST FINANCIAL CORPORATION
March 10, 2015 - February 16, 2016
INVEST FINANCIAL CORPORATION
September 5, 2014 - December 1, 2014
COMPOSITION WEALTH, LLC
August 3, 2007 - March 11, 2014
CHARLES SCHWAB & CO., INC.
January 30, 2004 - March 11, 2014
CHARLES SCHWAB & CO., INC.
June 4, 2003 - January 7, 2004
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 2, 1999 - March 4, 2003
FIDELITY BROKERAGE SERVICES LLC
October 10, 1996 - December 31, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
February 9, 1996 - September 26, 1996
FORESIDE FUNDS DISTRIBUTORS LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/7/2024)
(11/13/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
