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Andrew Jordan Bass

Scotia Capital (usa) Inc.

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About Andrew Jordan Bass

Andrew Jordan Bass is an active securities broker and investment advisor representative with Scotia Capital (usa) Inc.. Andrew has been in the financial services industry since 2004, and has been registered with Scotia Capital (usa) Inc. since 2015. Andrew has passed a number of industry exams including Series 7, Series 55, Series 57TO, Series 99TO, and SIE. Andrew has a broad range of experience, including previous roles at Deutsche Bank Securities Inc. and Lehman Brothers Inc.. Andrew is registered in all 50 states and the District of Columbia.

Firm Information

Andrew Bass is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Andrew Bass’s Registration & Firm History

NY

07/23/2015 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

10/25/2011 - 08/26/2014

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NJ

01/28/2009 - 11/23/2011

DB SECURITIES SERVICES NJ INC. (JERSEY CITY NJ)

NY

01/25/2007 - 02/06/2009

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

10/23/2003 - 11/30/2006

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/28/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/19/2012

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/22/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Andrew Jordan Bass.
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