NB
Nicholas J. Baseel
CHAUNER SECURITIES
Northbrook, IL 60062-2735
Some features on this profile are disabled
CRD#: 5404720
NB
Professional summary
Nicholas James Baseel is a registered financial professional currently at CHAUNER SECURITIES, INC. located in Northbrook, Illinois.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas James Baseel's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 14, 2024 - Present
CHAUNER SECURITIES, INC.
Office #1: 666 Dundee Road, Suite 903, Northbrook, IL 60062-2735BD
CRD#: 10075
Northbrook, IL
Past
July 12, 2011 - June 6, 2024
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
January 29, 2008 - July 6, 2011
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
BOSTON, MA
Past
August 29, 2007 - November 14, 2007
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ANDOVER, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/14/2024)
RR
Alaska(8/14/2024)
RR
Arizona(8/14/2024)
RR
Arkansas(8/14/2024)
RR
California(8/14/2024)
RR
Colorado(8/14/2024)
RR
Connecticut(8/14/2024)
RR
Delaware(8/14/2024)
RR
District of Columbia(8/14/2024)
RR
Florida(8/14/2024)
RR
Georgia(8/14/2024)
RR
Hawaii(8/22/2024)
RR
Idaho(8/14/2024)
RR
Illinois(8/14/2024)
RR
Indiana(8/14/2024)
RR
Iowa(8/14/2024)
RR
Kansas(8/14/2024)
RR
Kentucky(8/14/2024)
RR
Louisiana(8/14/2024)
RR
Maine(8/14/2024)
RR
Maryland(8/14/2024)
RR
Massachusetts(8/14/2024)
RR
Michigan(8/14/2024)
RR
Minnesota(8/14/2024)
RR
Mississippi(8/14/2024)
RR
Missouri(8/14/2024)
RR
Montana(8/14/2024)
RR
Nebraska(8/14/2024)
RR
Nevada(8/14/2024)
RR
New Hampshire(8/14/2024)
RR
New Jersey(8/14/2024)
RR
New Mexico(8/14/2024)
RR
New York(8/14/2024)
RR
North Carolina(8/14/2024)
RR
North Dakota(8/14/2024)
RR
Ohio(8/14/2024)
RR
Oklahoma(8/14/2024)
RR
Oregon(8/14/2024)
RR
Pennsylvania(8/14/2024)
RR
Rhode Island(8/14/2024)
RR
South Carolina(8/14/2024)
RR
South Dakota(8/14/2024)
RR
Tennessee(8/14/2024)
RR
Texas(8/14/2024)
RR
Utah(8/14/2024)
RR
Vermont(8/14/2024)
RR
Virginia(8/14/2024)
RR
Washington(8/14/2024)
RR
West Virginia(8/14/2024)
RR
Wisconsin(8/14/2024)
RR
Wyoming(8/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CHAUNER SECURITIES, INC.
CHAUNER & COTTER, INC. | CHAUNER, GRAVER & ASSOCIATES, INC. | CHAUNER, COTTER & GRAVER, INC. | CHAUNER SECURITIES, INC.
CRD#: 10075 / SEC#: , 8-33980
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
666 Dundee Road, Suite 903, Northbrook, IL 60062-2735
Mailing Address
666 Dundee Road, Suite 903, Northbrook, IL 60062-2735
Phone number
(847) 509-8880
Established
Illinois since 04/10/1985
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
