Bruce Bassin

Current Employers

Bassin, Bruce

Thousand Oaks, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2017-01-18

CA RA
APPROVED

Since 2017-01-18

Branch Locations

Thousand Oaks, CA • 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

Organization	City	State	From	To
Southeast Investments, N.C. Inc.	Charlotte	NC	07/2016	01/2018
Bruce Bassin, Sole Proprietor	Thousand Oaks	CA	03/1998	Present

07/2016 → 01/2018

Southeast Investments, N.C. Inc.

Charlotte, NC
03/1998 → Present

Bruce Bassin, Sole Proprietor

Thousand Oaks, CA

Previous Registrations

2015-07-10 → 2016-01-04

Modern Capital Advisors, Llc

Thousand Oaks, CA

Raleigh, NC
2015-01-02 → 2015-05-19

Kovack Advisors, Inc.

Thousand Oaks, CA

Ft. Lauderdale, FL
2008-04-01 → 2014-12-31

Resource Horizons Investment Advisory, Inc.

Thousand Oaks, CA
2001-07-31 → 2008-03-31

Financial West Group

Westlake Village, CA

Thousand Oaks, CA

Westlake Village, CA

Other Businesses

BRUCE BASSIN is also a licensed insurance agent: Non investment-related. 2227 Greenpark Ct, Thousand Oaks, CA, 91362. 03/1998. I may devote as much as 120 hours per month to this business. I am compensated by commissions.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-11-16
S63	Uniform Securities Agent State Law Examination	1998-03-27

S65 Uniform Investment Adviser Law Examination

1998-11-16
S63 Uniform Securities Agent State Law Examination

1998-03-27

View on SEC IAPD