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Joe Rowland Basham

Spc

Midland, TX

Ann Arbor, MI

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Current Employers
Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-11-29
  • TX RA
    APPROVED
    Since 2017-11-29

Branch Locations

4410 N. Midkiff Rd Ste D-210, Midland, TX 79705 • United States

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Parkland Securities Ann Arbor MI 08/2014 10/2017
Royal Alliance Midland TX 10/2017 11/2017
Parkland Securities Ann Arbor MI 11/2017 Present
Spc Ann Arbor MI 11/2017 Present
  • 08/2014 → 10/2017
    Parkland Securities
    Ann Arbor, MI
  • 10/2017 → 11/2017
    Royal Alliance
    Midland, TX
  • 11/2017 → Present
    Parkland Securities
    Ann Arbor, MI
  • 11/2017 → Present
    Spc
    Ann Arbor, MI
Previous Registrations
  • 2017-10-24 → 2017-12-06
    Osaic Wealth, Inc.
    Tulsa, OK
    Midland, TX
    Midland, TX
  • 2010-01-14 → 2017-10-23
    Spc
    Midland, TX
    Midland, TX
  • 2005-03-18 → 2009-06-01
    Next Financial Group, Inc.
    Midland, TX
Other Businesses

1) APPT WITH VARIOUS COMPANIES TO SELL LIFE, HEALTH, ANNUITIES, DISABILITY, LTC. 2) DBA - BASHAM FINANCIAL GROUP, OWNER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-24
S63 Uniform Securities Agent State Law Examination 1999-12-01
  • S66 Uniform Combined State Law Examination
    2008-10-24
  • S63 Uniform Securities Agent State Law Examination
    1999-12-01
Other Names
  • Joe R Basham

View on SEC IAPD

Other Firms

CARGILE INVESTMENT MANAGEMENT
TRINCHERA INVESTMENTS, LLC
ASHTON THOMAS PRIVATE WEALTH
EAGLE STRATEGIES LLC
J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BEYOND BALANCED FINANCIAL PLANNING, LLC

Other Investors

CHARLES ROSS GAINES
MICKEY RAY CARGILE
KEITH WAYNE PARKER
CHRISTOPHER LOUIS TEREBESSY
Braden Seth Schaffner
JESUS HIROHITO YAMAGUCHI ESQUIVEL
MARCEL CAMPOS
STEFAN PEREIRA FARIA

Other Offices

CARGILE INVESTMENT MANAGEMENT · MIDLAND, TX
TRINCHERA INVESTMENTS, LLC · MIDLAND, TX
ASHTON THOMAS PRIVATE WEALTH · MIDLAND, TX
EAGLE STRATEGIES LLC · MIDLAND, TX
J.P. MORGAN SECURITIES LLC · MIDLAND, TX
WELLS FARGO CLEARING SERVICES, LLC · MIDLAND, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MIDLAND, TX
BEYOND BALANCED FINANCIAL PLANNING, LLC · MIDLAND, TX

More in Midland, TX

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