Richard Samuel Basham

Current Employers

Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2017-03-25

NC RA
APPROVED

Since 2017-03-25

Branch Locations

Winston Salem, NC • United States

3779 Vest Mill Road Suite A, Winston Salem, NC 27103 • 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
Metlife Securities Inc.	Winston-Salem	NC	11/1992	03/2017
Mass Mutual Life Insurance Company	Winston Salem	NC	07/2016	Present
Mml Investors Services, Llc	Winston Salem	NC	03/2017	Present

11/1992 → 03/2017

Metlife Securities Inc.

Winston-Salem, NC
07/2016 → Present

Mass Mutual Life Insurance Company

Winston Salem, NC
03/2017 → Present

Mml Investors Services, Llc

Winston Salem, NC

Previous Registrations

2003-06-24 → 2017-03-25

Msi Financial Services, Inc.

Winston Salem, NC

Winston-Salem, NC

Other Businesses

(1) FUNDRAISING FOR NATIONAL MS SOCIETY - GREENSBORO, NC - 0 HOURS - SINCE 07/2000 (2) NAME: RICHARD BASHAM INV REL: Y ADD: 2405 FOSTERDALE LN, WINSTON-SALEM 27107 NATURE: OUTSIDE INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 07/01/2017 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DUTIES: LIFE, DISABILITY, LONG-TERM CARE AND FIXED ANNUITIES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-08-23
S63	Uniform Securities Agent State Law Examination	1992-06-05

S65 Uniform Investment Adviser Law Examination

2002-08-23
S63 Uniform Securities Agent State Law Examination

1992-06-05

Other Names

Rick Basham
Richard S Basham
Richard "Rick" S Basham

View on SEC IAPD