Edward D. Basham
Professional summary
Edward Dee Basham was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Edward had worked at 4 firms, which includes WAMU INVESTMENTS INC., COUNTRYWIDE INVESTMENT SERVICES INC., NYLIFE SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2007 - October 31, 2007
WAMU INVESTMENTS, INC.
August 15, 2005 - February 5, 2007
COUNTRYWIDE INVESTMENT SERVICES, INC.
April 2, 2004 - June 20, 2005
WAMU INVESTMENTS, INC.
July 2, 2001 - April 22, 2002
NYLIFE SECURITIES LLC
June 3, 1999 - April 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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