George S. Baseluos
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.
George Samuel Baseluos, who also goes by George Baseluos, was a registered financial advisor .
George is a previously registered financial advisor and started their career in finance in 2007. George had worked at 4 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
Experience
March 3, 2011 - July 6, 2011
NEWPORT COAST SECURITIES, INC.
January 22, 2010 - July 6, 2011
NEWPORT COAST SECURITIES, INC.
June 15, 2009 - February 18, 2010
JOHN THOMAS FINANCIAL
July 31, 2007 - July 8, 2009
THINKEQUITY LLC
May 21, 2007 - August 28, 2007
JOSEPH STEVENS & CO., 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
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
