Ryan W. Bakas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ryan Wade Bakas was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2000. Ryan had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2014 - May 27, 2015
CIM SECURITIES, LLC
January 1, 2013 - August 7, 2013
TRANSAMERICA CAPITAL, LLC
January 20, 2006 - January 16, 2009
TRANSAMERICA CAPITAL, LLC
February 23, 2004 - January 19, 2006
JANUS HENDERSON DISTRIBUTORS US LLC
September 13, 2001 - March 14, 2002
PHILLIPS & COMPANY
November 27, 2000 - March 20, 2001
PHILLIPS & COMPANY
October 4, 2000 - November 27, 2000
WILLAMETTE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CIM SECURITIES, LLC
CRD#: 120852 / SEC#: , 8-65351
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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