Bruce Bassin
Professional summary
Bruce Bassin is a registered financial advisor currently at BASSIN, BRUCE located in Thousand Oaks, California.
Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Bruce has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Bassin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 18, 2017 - Present
BASSIN, BRUCE
July 5, 2016 - January 2, 2018
SOUTHEAST INVESTMENTS, N.C., INC.
July 10, 2015 - January 4, 2016
MODERN CAPITAL ADVISORS, LLC
May 19, 2015 - January 4, 2016
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
January 2, 2015 - May 19, 2015
KOVACK ADVISORS, INC.
October 15, 2014 - May 19, 2015
KOVACK SECURITIES INC.
April 1, 2008 - December 31, 2014
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
March 28, 2008 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
July 31, 2001 - March 31, 2008
FINANCIAL WEST GROUP
June 28, 2001 - March 31, 2008
FINANCIAL WEST GROUP
February 15, 2000 - July 11, 2001
CONSECO SECURITIES, INC.
March 2, 1998 - January 25, 2000
EQUITY SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/18/2017)
Exams
Current Firm
BASSIN, BRUCE
CRD#: 283413 / SEC#:
Contact information
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.
