Mark S. Bassett
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.
Mark Stephan Bassett, who also goes by Mark S Bassett, Mark Bassett, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2011. Mark had worked at 6 firms and has passed the Series 66, SIE 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 7, 2024 - May 20, 2025
WELLS FARGO CLEARING SERVICES, LLC
March 7, 2024 - May 20, 2025
WELLS FARGO CLEARING SERVICES, LLC
May 19, 2022 - June 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2022 - June 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2021 - February 23, 2022
EDWARD JONES
January 15, 2021 - February 23, 2022
EDWARD JONES
March 9, 2017 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 9, 2017 - January 11, 2021
TD AMERITRADE, INC.
March 9, 2017 - January 11, 2021
TD AMERITRADE, INC.
February 17, 2012 - February 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2012 - February 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2011 - February 8, 2012
MORGAN STANLEY
September 5, 2011 - February 8, 2012
MORGAN STANLEY
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
