Jason D. Bass

HARRIS WILLIAMS

Richmond, VA 23219

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CRD#: 2906202

Professional summary

Jason David Bass is a registered financial professional currently at HARRIS WILLIAMS located in Richmond, Virginia.

Jason is registered as a RR (Registered Representative) and started their career in finance in 1998. Jason has worked at 3 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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CRS (Client Relationship Summary) - BD

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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

Current

May 23, 2012 - Present

HARRIS WILLIAMS

Office #1: 1001 Haxall Point 9th Floor, Richmond, VA 23219

CRD#: 113930

Richmond, VA

Past

April 12, 2006 - June 5, 2012

SCOTT & STRINGFELLOW, LLC

RIA

CRD#: 6255

RICHMOND, VA

Past

May 17, 2000 - June 5, 2012

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

May 20, 1998 - March 20, 2000

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

State Registrations and Notice Filings

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

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

Virginia
(5/23/2012)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/11/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HARRIS WILLIAMS

HARRIS WILLIAMS | HARRIS WILLIAMS LLC | HARRIS WILLIAMS ADVISORS, INC. | HARRIS WILLIAMS & CO.

CRD#: 113930 / SEC#: , 8-53380

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1001 Haxall Point 9th Floor, Richmond, VA 23219

Mailing Address

1001 Haxall Point 9th Floor, Richmond, VA 23219

Phone number

(804) 648-0072

Established

Virginia since 01/01/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (45 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PNC BANK, NATIONAL ASSOCIATION	PARENT
BALTIMORE, ROBERT MARTIN	BOARD MEMBER / CO-CEO	4445610
HART, JASON EDWARD HEATH	FINOP	4173982
HART, JASON EDWARD HEATH	PRINCIPAL FINANCIAL OFFICER	4173982
HART, JASON EDWARD HEATH	PRINCIPAL OPERATIONS OFFICER	4173982
LONG, GEORGE PHILLIP MR.	CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD	5094038
NEUNER, JOHN IV	BOARD MEMBER / CO-CEO	4578584
POGGI, PAUL THOMAS	CHIEF OPERATING OFFICER AND BOARD MEMBER	5277661
THOMAS, MICHAEL DUANE	BOARD MEMBER	2992653
VALENTINE, EDWARD WEST	CHAIRMAN OF THE BOARD OF MANAGERS	2399981
VAN DER WAAG, ASHLEY HOGUE	CHIEF COMPLIANCE OFFICER	3079633
WILLIAMS, JULIE ANN	BOARD MEMBER	6040587

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Jason D. Bass

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason David Bass's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

JANNEY MONTGOMERY SCOTT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2006

Series 63

Date: 5/15/1998

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1998

Series 24

Date: 9/20/2012

FINRA

Current Firm

HARRIS WILLIAMS

Contact information

FINRA licenses (45 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HARRIS WILLIAMS

TRUST BUT VERIFY

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