Sebastiaan J. Pol
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.
Sebastiaan Johan Pol, who also goes by Bas Pol, was a registered financial professional .
Sebastiaan is a previously registered financial professional and started their career in finance in 2007. Sebastiaan had worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2007 - June 13, 2024
KBC SECURITIES USA LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/11/2010
Limited Representative-Equity Trader ExamCurrent Firm
KBC SECURITIES USA LLC
CRD#: 46709 / SEC#: , 8-51529
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBC BANK N.V. | SHAREHOLDER | |
| RAGUSA, ROSALBA | FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER & PRIMARY ANTI-MONEY LAUNDERING OFFICER | 2830587 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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