John W. Basinger
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.
John Warren Basinger was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2020 - December 19, 2023
PURSHE KAPLAN STERLING INVESTMENTS
April 12, 2013 - July 15, 2020
BROADSTONE SECURITIES
February 8, 2013 - April 5, 2013
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
June 10, 2011 - November 16, 2012
HANTZ FINANCIAL SERVICES, INC.
March 13, 2000 - November 16, 2012
HANTZ FINANCIAL SERVICES, INC.
November 12, 1993 - March 20, 2000
AMERICAN GENERAL EQUITY SERVICES CORPORATION
July 18, 1991 - October 5, 1993
OSAIC FS, INC.
March 30, 1989 - December 31, 1990
MARINER FINANCIAL SERVICES, INC.
December 15, 1987 - March 13, 1989
MUTUAL SERVICE CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 1/23/1977
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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