Bruce Stein is President and Sole Shareholder and Chief Compliance Officer of Bas Capital, is a control person of the firm and directly owns 75% or more of it.
Bas Capital Corp. is a firm with $117M under management, 20 clients and 1 adviser in one office, as of its July 2026 filing.
Bruce Stein’s longest registration is the current one, 16 years at Bas Capital since 2010. Before joining Bas Capital in 2010, Bruce Stein was registered through Raymond James & Associates, Inc.
- Raymond James & Associates, Inc.– · 9 yearsMemphis, TN · Adviser representative · Firm CRD 705
Investment adviser representative registrations
Bruce Stein is registered as an investment adviser representative in 4 states. The first approvals date from May 2010; the most recent is Louisiana, in May 2019.
- GeorgiaSince 6 July 2012
- LouisianaSince 28 May 2019
- TennesseeSince 7 April 2011
- TexasSince 11 May 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 14 December 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 October 1987 |
| Series 7 | General Securities Representative Examination | 19 September 1987 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Bruce Allen Stein
- CRD
- 1721947
- Firm
- Bas Capital · CRD 150430
- Role
- President and Sole Shareholder; Chief Compliance Officer
- Office
- Memphis, TN
- Registration
- Investment adviser registration
- In the industry since
- June 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Bruce Stein work?
Bruce Stein is President and Sole Shareholder; Chief Compliance Officer of Bas Capital Corp., and is a control person of the firm.
Is Bruce Stein a financial advisor?
Yes. Bruce Stein has a current investment-adviser registration in Georgia, Louisiana, Tennessee and Texas, through Bas Capital since May 2010.
How many years of experience does Bruce Stein have?
Bruce Stein has 26 years in the financial industry, since June 2000, across 2 adviser firms.
What exams has Bruce Stein passed?
Bruce Stein has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in September 1987.
Where did Bruce Stein work before Bas Capital?
Before Bas Capital, Bruce Stein was registered through Raymond James & Associates, Inc., June 1999 to May 2009.
Where is Bruce Stein based?
Bruce Stein’s registered office is in Memphis, TN.
Is Bruce Stein registered with FINRA?
No. Bruce Stein has no current broker registration.
How can I verify Bruce Stein’s record?
Search CRD 1721947 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Bruce Stein’s full registration record.