Theo Basis Email & Phone Number
Chief Compliance Officer @ Spartan Capital Securities, LLC
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Theo Basis Location
- New York, NY, US
Theo Basis Work
- 2025 -now Chief Compliance Officer @
- 2021 -2025 Chief Compliance Officer and AML CCO @ Laidlaw & Company Ltd. & Laidlaw Wealth Management
- 2021 -2021 Chief Compliance Officer @
- 2019 -2021 Compliance Manager - Leader @
- 2011 -2018 Compliance Officer @ Signature Securities Group
- 2010 -2011 Compliance and Legal Business Analyst Contractor @ Citi Group Wealth Managemant
- 2009 -2010 Senior Compliance Manager @ TD Wealth Management
- 2000 -2008 Director of Compliance @ AXA - Equitable
- 1998 -2000 Chief Compliance Officer and Branch Manager @ WJ Nolan & Co. Inc.
- 1996 -1998 Chief Compliance Officer - NASD Executive Representative @ JW Barclay & Co. Inc
- 1994 -1996 Associate Compliance Manager @ PRUDENTIAL INSURANCE CO., OF AMERICA
- 1990 -1994 Senior Compliance Examiner @ NASD / FINRA
Theo Basis Education
- English Language Institute College Of Staten Island Cuny
(Economics, Business Management)
1992-1992
Theo Basis Skills
- Series 24,7, 8,9,10,14,53,63,65,99 & CAMS
- FINRA
- Compliance
- SEC
- Mutual Funds
- Fixed Income
- Financial Services
- Anti Money Laundering
- Securities Regulation
- Insurance
- Investment Advisory
- Policy
- Licensing
- Investigations
- Wealth Management
- SEC filings
- Due Diligence
- Series 7
- Regulatory Compliance
- Regulatory Submissions
- Supervisory Skills
- Management
- Communication
- Series 63
- Series 24
- USA PATRIOT Act
- Series 65
- Ethics
- legal and compliance
- Regulatory Guidelines
- Broker-Dealer Compliance
- Complaint Management
Theo Basis Summary
- Theo Basis, based in New York, NY, US, is currently a Chief Compliance Officer at Spartan Capital Securities, LLC. Theo Basis brings experience from previous roles at Laidlaw & Company Ltd. & Laidlaw Wealth Management, Vanderbilt Financial Group, Principal Financial Group and Signature Securities Group. Theo Basis holds a 1992 - 1992 English Language Institute College Of Staten Island Cuny. With a robust skill set that includes Series 24,7, 8,9,10,14,53,63,65,99 & CAMS, FINRA, Compliance, SEC, Mutual Funds and more. Theo Basis has 2 emails and 2 mobile phone numbers on RocketReach.
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