KAIMAH TINA BASS

KAIMAH TINA BASS is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 333 N POINT CTR E, ALPHARETTA, GA, 30022.

KAIMAH TINA BASS has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since April 11, 2016

Disclosure History

KAIMAH TINA BASS has 6 Disclosure Event(s).

Date: March 14, 2016
Category: Financial
Type: Bankruptcy
Disposition: Satisfied/Released

Date: January 01, 2014
Category: Financial
Type: Compromise
Disposition: Discharged

Date: September 01, 2013
Category: Financial
Type: Compromise
Disposition: Discharged

Date: July 01, 2013
Category: Financial
Type: Compromise
Disposition: Discharged

Date: July 01, 2013
Category: Financial
Type: Compromise
Disposition: Discharged

Date: June 01, 2013
Category: Financial
Type: Compromise
Disposition: Discharged

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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