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Bruce Allen Stein

Bas Capital

Memphis, TN

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Current Employers
Bas Capital

Memphis, TN • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2019-05-28
GA RA APPROVED 2012-07-06
TX RA APPROVED 2012-06-27
TN RA APPROVED 2011-04-07
  • LA RA
    APPROVED
    Since 2019-05-28
  • GA RA
    APPROVED
    Since 2012-07-06
  • TX RA
    APPROVED
    Since 2012-06-27
  • TN RA
    APPROVED
    Since 2011-04-07

Branch Locations

Memphis, TN • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Bas Capital Corp. Memphis TN 05/2009 Present
  • 05/2009 → Present
    Bas Capital Corp.
    Memphis, TN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-14
S63 Uniform Securities Agent State Law Examination 1987-10-16
  • S65 Uniform Investment Adviser Law Examination
    1999-12-14
  • S63 Uniform Securities Agent State Law Examination
    1987-10-16
Other Names
  • Bruce A Stein

View on SEC IAPD

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