Richard R. Basford
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.
Richard R. Basford, who also goes by Richard Ralph Basford, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 5 firms and has passed the Series 65, Series 63 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
April 9, 2015 - February 23, 2017
IFAM CAPITAL
August 17, 2007 - January 29, 2014
UBS FINANCIAL SERVICES INC.
August 17, 2007 - January 29, 2014
UBS FINANCIAL SERVICES INC.
February 23, 2001 - August 27, 2007
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - August 27, 2007
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
July 27, 1979 - April 11, 1988
E. F. HUTTON & COMPANY 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
Current Firm
IFAM CAPITAL
CRD#: 175084 / SEC#: 801-81076
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 821 |
| AUM (Assets Under Management) | $ 1,705,072,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2024 | ||
| 12/21/2023 | ||
| 12/12/2022 | ||
| 11/29/2021 |
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.
