Andrew M. Basile
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.
Andrew Michael Basile, who also goes by Andrew M Basile, Andy Basile, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1977. Andrew had worked at 15 firms and has passed the Series 63, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - April 15, 2002
WILLIAM & CO. CAPITAL MARKETS LTD.
November 25, 1997 - January 1, 1998
SEABOARD SECURITIES, INC.
May 14, 1997 - October 2, 1997
BRIARWOOD INVESTMENT COUNSEL
April 23, 1996 - April 21, 1997
LT LAWRENCE & CO., INC.
April 2, 1996 - April 18, 1996
MONITOR INVESTMENT GROUP, INC.
November 16, 1995 - March 14, 1996
AIBC INVESTMENT SERVICES CORPORATION
May 11, 1995 - December 21, 1995
CONTINENTAL BROKER-DEALER CORP.
October 20, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
February 26, 1991 - December 31, 1991
CONTINENTAL BROKER-DEALER CORP.
October 11, 1989 - April 11, 1995
SDI CAPITAL MARKETS, INC.
June 12, 1987 - February 10, 1988
EASTERN CAPITAL SECURITIES, INC.
May 11, 1987 - September 21, 1989
SANYO SECURITIES AMERICA INC.
August 26, 1985 - June 24, 1987
AUSTIN, DAVENPORT ASSOCIATES, INC.
December 28, 1984 - May 15, 1985
MARVEST SECURITIES, INC.
October 8, 1980 - July 31, 1986
VERRILLI ALTSCHULER SCHWARTZ INC.
April 14, 1977 - March 17, 1987
NOMURA SECURITIES INTERNATIONAL, 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
F04
Date: 9/1/1977
Financial Principal ExaminationSeries 40
Date: 4/7/1977
Registered Principal ExaminationCurrent Firm
WILLIAM & CO. CAPITAL MARKETS LTD.
CRD#: 8382 / SEC#: , 8-25392
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
