DB
David F. Bassett
RABO SECURITIES USA
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 2802027
DB
Professional summary
David Francis Bassett is a registered financial professional currently at RABO SECURITIES USA, INC. located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view David Francis Bassett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 27, 2013 - Present
RABO SECURITIES USA, INC.
Office #1: 151 West 42nd Street 8th Floor, New York, NY 10036Office #2: 150 North Riverside Plaza Suite 2000, Chicago, IL 60606BD
CRD#: 122657
NEW YORK, NY
Past
December 12, 2008 - June 3, 2011
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
October 12, 2006 - December 12, 2008
RBS SECURITIES CORPORATION
BD
CRD#: 118936
NEW YORK, NY
Past
December 3, 1998 - January 8, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 21, 1996 - December 1, 1998
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/27/2013)
RR
Alaska(5/27/2013)
RR
Arizona(5/27/2013)
RR
Arkansas(5/27/2013)
RR
California(5/27/2013)
RR
Colorado(5/27/2013)
RR
Connecticut(5/27/2013)
RR
Delaware(5/27/2013)
RR
District of Columbia(5/27/2013)
RR
Florida(5/27/2013)
RR
Georgia(5/27/2013)
RR
Hawaii(5/27/2013)
RR
Idaho(5/27/2013)
RR
Illinois(5/27/2013)
RR
Indiana(5/27/2013)
RR
Iowa(5/27/2013)
RR
Kansas(5/27/2013)
RR
Kentucky(5/27/2013)
RR
Louisiana(5/27/2013)
RR
Maine(5/27/2013)
RR
Maryland(5/27/2013)
RR
Massachusetts(5/27/2013)
RR
Michigan(5/27/2013)
RR
Minnesota(5/27/2013)
RR
Mississippi(5/27/2013)
RR
Missouri(5/27/2013)
RR
Montana(5/27/2013)
RR
Nebraska(5/27/2013)
RR
Nevada(5/27/2013)
RR
New Hampshire(5/27/2013)
RR
New Jersey(5/27/2013)
RR
New Mexico(5/27/2013)
RR
New York(5/27/2013)
RR
North Carolina(5/28/2013)
RR
North Dakota(5/27/2013)
RR
Ohio(5/28/2013)
RR
Oklahoma(5/27/2013)
RR
Oregon(5/27/2013)
RR
Pennsylvania(5/27/2013)
RR
Puerto Rico(5/27/2013)
RR
Rhode Island(5/27/2013)
RR
South Carolina(5/27/2013)
RR
South Dakota(5/27/2013)
RR
Tennessee(5/27/2013)
RR
Texas(5/27/2013)
RR
Utah(5/27/2013)
RR
Vermont(5/27/2013)
RR
Virginia(5/27/2013)
RR
Washington(5/27/2013)
RR
West Virginia(5/27/2013)
RR
Wisconsin(5/27/2013)
RR
Wyoming(5/27/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RS
RABO SECURITIES USA, INC.
RABO SECURITIES USA, INC. | RABO SECURITIES USA, INCORPORATED
CRD#: 122657 / SEC#: , 8-65525
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
151 West 42nd Street 8th Floor, New York, NY 10036
Mailing Address
151 West 42nd Street 8th Floor, New York, NY 10036
Phone number
(212) 808-2548
Established
Delaware since 03/22/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
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.
