Joris Bastien

QUANTARAXIA LLC

Simpsonville, SC

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CRD#: 5908129

Professional summary

Joris Bastien is a registered financial advisor currently at QUANTARAXIA LLC located in Simpsonville, South Carolina.

Joris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Joris has worked at 2 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Advisor; Globcoin; Investment Related: Yes; Location: Unterm�li 7 6302 Zug, Switzerland; Description of the business: Globcoin's vision is to provide the World with global, accessible, low entry-cost currency solutions, which conveniently connect fiat and cryptocurrencies. Globcoin provides a stable digital currency (stablecoin) based on a diversified basket of fiat currencies.; Responsibilities Duties: Participation to the advisory board; Start date with business: 2019-08-01; Hours devoted to business outside trading hours: 2; Joris Bastien is an associated person with the NFA and ID 0552302.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joris Bastien'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®

None

Experience

Current

May 8, 2020 - Present

QUANTARAXIA LLC

RIA

CRD#: 308478

Simpsonville, SC

Past

May 11, 2011 - June 21, 2011

MILLENCO LLC

CRD#: 33726

OLD GREENWICH, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(4/6/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/25/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/5/2022

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/10/2011

General Securities Representative Examination

Current Firm

QUANTARAXIA LLC

CRD#: 308478 / SEC#:

Connecticut

Registered Investment Advisory firm - (6/1/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (4/6/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Simpsonville, SC

Mailing Address

Phone number

(475) 243-6380

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 321,000

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.

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Joris Bastien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joris Bastien's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUANTARAXIA LLC

MILLENCO LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2020

Series 63

Date: 6/3/2011

Series 3

Date: 10/5/2022

Series 7

Date: 5/10/2011

Current Firm

QUANTARAXIA LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

QUANTARAXIA LLC

TRUST BUT VERIFY

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