Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Basham is a financial professional with over 30 years of experience in the industry. David is currently registered with HSBC Securities (USA) Inc. in San Francisco, CA. David has held various roles at several firms, including Bear, Stearns & Co. Inc., Credit Agricole Cheuvreux North America, Inc., and Deutsche Bank Securities Inc. David holds Series 4, 7, 8, 9, 10, 24, 63, 79TO and SIE licenses.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
08/15/2013 - Present
Hsbc Securities (usa) Inc. (San Francisco CA)
NY
07/10/2008 - 08/01/2013
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. (NEW YORK NY)
CA
08/20/2002 - 06/09/2008
BEAR, STEARNS & CO. INC. (SAN FRANCISCO CA)
NY
09/14/1999 - 08/07/2002
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
08/31/1999 - 09/14/1999
CREDIT LYONNAIS SECURITIES (USA), INC. (NEW YORK NY)
NY
06/14/1999 - 07/16/1999
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
06/12/1998 - 06/14/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NY
11/19/1997 - 04/23/1998
NATWEST SECURITIES CORPORATION (NEW YORK NY)
NA
10/26/1992 - 01/11/1996
KLEINWORT BENSON NORTH AMERICA INC.
NA
07/23/1991 - 10/25/1991
KLEINWORT BENSON NORTH AMERICA INC.
BC
Issued 06/10/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/21/2012
Series 24 - General Securities Principal Examination
BC
Issued 06/25/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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