Daniel M. Basch
Professional summary
Daniel Michael Basch, who also goes by Daniel Basch, is a registered financial professional currently at SPENCER-WINSTON SECURITIES CORPORATION located in Baltimore, Maryland.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Michael Basch's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2020 - Present
SPENCER-WINSTON SECURITIES CORPORATION
November 1, 2004 - June 18, 2018
SPENCER-WINSTON SECURITIES CORPORATION
August 19, 2002 - October 25, 2004
BISHOP, ROSEN & CO., INC.
April 7, 2000 - September 11, 2002
LADENBURG CAPITAL MANAGEMENT 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
(1/9/2020)
(1/9/2020)
(6/15/2023)
(1/9/2020)
(1/9/2020)
Exams
FINRA
Current Firm
SPENCER-WINSTON SECURITIES CORPORATION
CRD#: 8300 / SEC#: , 8-24995
Contact information
FINRA licenses (9 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 5 |
Red Flags
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