Ira W. Bassin
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.
Ira Warren Bassin was a registered financial professional .
Ira is a previously registered financial professional and started their career in finance in 1977. Ira had worked at 6 firms and has passed the Series 63, Series 15, Series 3, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 1994 - April 7, 1995
FSG SECURITIES, INC.
November 16, 1991 - February 17, 1994
CITIGROUP GLOBAL MARKETS INC.
November 5, 1991 - February 17, 1994
CITIGROUP GLOBAL MARKETS INC.
May 16, 1983 - November 21, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 11, 1979 - May 26, 1983
ROONEY, PACE INC.
May 6, 1977 - January 18, 1980
FITTIN, CUNNINGHAM & LAUZON, INC.
March 1, 1977 - June 6, 1977
FIRST JERSEY SECURITIES, INC.
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 15
Date: 11/15/1988
Foreign Currency Options ExaminationSeries 5
Date: 4/13/1983
Interest Rate Options ExaminationSeries 12
Date: 6/15/1980
NYSE Branch Manager ExaminationCurrent Firm
FSG SECURITIES, INC.
CRD#: 35352 / SEC#: , 8-46657
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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