Erdem Bessim
Professional summary
Erdem Bessim was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Erdem is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Erdem had worked at 3 firms, which includes FIS SECURITIES INC., FLEET ENTERPRISES INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1997 - June 17, 1998
FIS SECURITIES, INC.
April 28, 1997 - June 22, 1998
FLEET ENTERPRISES, INC.
August 23, 1996 - December 20, 1996
UBS 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
FIS SECURITIES, INC.
CRD#: 30533 / SEC#: , 8-44986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLEET RI HOLDING CORP. | SOLE SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | VICE PRESIDENT | 1079745 |
| FROUDE, DONALD EDMUND | PRESIDENT | 1002120 |
| GAY, WILLIAM GEORGE | FINOP | 2899820 |
| LABARBERA, SALVATORE | VICE PRESIDENT | 872226 |
| MERCURIO, PASCAL JAMES | CHAIRMAN AND DIRECTOR | 825595 |
| NIGROSH, DIANE JOY | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT & SECRETARY | 863863 |
| QUICK, LESLIE CHARLES III | VICE PRESIDENT & DIRECTOR | 1079748 |
| QUICK, THOMAS CLARKSON | DIRECTOR | 1079750 |
| SCHAEFFNER, JENNIFER ANNE | DIRECTOR, VICE PRESIDENT | 1174120 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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