Robert E. Basham
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.
Robert Edward Basham, who also goes by Robert Basham, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2012. Robert had worked at 4 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
January 3, 2018 - December 31, 2019
UPRISE FINANCIAL PLANNING
May 29, 2013 - September 8, 2016
LANE FLORENCE, LLC
May 8, 2013 - August 19, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 12, 2012 - August 19, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UPRISE FINANCIAL PLANNING
CRD#: 291338 / SEC#:
Contact information
Red Flags
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