Christopher E. Baso
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.
Christopher Edward Baso, CFP®, who also goes by Chris Baso, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2014
Experience
December 26, 2024 - December 31, 2025
THE LEADERS GROUP, INC.
February 2, 2022 - December 31, 2022
THE LEADERS GROUP, INC.
April 29, 2020 - February 1, 2021
BROOKSTONE WEALTH ADVISORS, LLC
December 11, 2018 - February 10, 2020
PRINCIPAL SECURITIES, INC.
October 17, 2018 - February 10, 2020
PRINCIPAL SECURITIES, INC.
January 3, 2007 - March 26, 2008
FBL MARKETING SERVICES, LLC
August 18, 2006 - December 31, 2006
FARMERS FINANCIAL SOLUTIONS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
