Duane W. Bascombe
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.
Duane Winston Bascombe, who also goes by Duane Bascombe, Duane Winston, was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 2001. Duane had worked at 16 firms and has passed the Series 63 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
January 8, 2014 - May 30, 2014
SCOTTRADE, INC.
May 17, 2013 - January 17, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 26, 2010 - July 28, 2010
WESTROCK ADVISORS, INC.
February 17, 2010 - March 11, 2010
FIRST MERGER CAPITAL, INC
December 7, 2009 - February 22, 2010
SEABOARD SECURITIES, INC.
July 12, 2006 - December 1, 2009
EMERALD INVESTMENTS, INC.
April 19, 2006 - July 12, 2006
SUCCESS TRADE SECURITIES, INC.
September 9, 2005 - April 3, 2006
LEMPERT BROTHERS INTERNATIONAL USA, INC.
August 16, 2004 - November 10, 2004
FIRST HUDSON FINANCIAL GROUP, INC.
March 18, 2004 - May 6, 2004
FIRST MONTAUK SECURITIES CORP.
November 4, 2003 - March 8, 2004
VFINANCE INVESTMENTS, INC
January 22, 2003 - November 11, 2003
GUNNALLEN FINANCIAL, INC
July 23, 2002 - January 28, 2003
EKN FINANCIAL SERVICES INC.
May 21, 2002 - August 1, 2002
CONTINENTAL BROKER-DEALER CORP.
January 16, 2002 - May 16, 2002
VANGUARD CAPITAL
August 16, 2001 - December 4, 2001
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
Exams
Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
