Allen J. Bass
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.
Allen James Bass III, CFP®, who also goes by Jamey Bass, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 2004. Allen had worked at 5 firms and has passed the Series 66, 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
Start date: 2010
Experience
April 11, 2011 - July 23, 2014
NEXT FINANCIAL GROUP, INC.
April 11, 2011 - July 23, 2014
NEXT FINANCIAL GROUP, INC.
November 26, 2007 - April 12, 2011
PRINCIPAL SECURITIES, INC.
October 26, 2007 - April 12, 2011
PRINCIPAL SECURITIES, INC.
April 15, 2005 - October 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
March 28, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 28, 2005 - October 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
June 2, 2004 - February 9, 2005
EDWARD JONES
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
