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JOSHUA JOSEPH BASEN
JOSH BASEN
CRD#: 5156644
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2055 CROCKER ROAD
WESTLAKE, OH 44145
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - Present (17 years)
License(s)

State Registrations

B
California 3/20/2007

B
Missouri 6/9/2016

B
District of Columbia 8/6/2021

B
Nevada 10/17/2022

B
Florida 2/5/2008

B
New Jersey 6/10/2024

B
Georgia 2/5/2008

B
New York 2/5/2008

B
Illinois 12/13/2007

B
Ohio 3/20/2007

B
Indiana 6/10/2024

IA
Ohio 3/21/2007

B
Kansas 10/15/2020

B
Oregon 1/21/2021

B
Michigan 5/11/2021

B
Tennessee 9/20/2021

B
Minnesota 8/10/2018

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2055 CROCKER ROAD, WESTLAKE, OH 44145
Registered with this firm since 3/21/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2055 CROCKER ROAD, WESTLAKE, OH 44145
Registered with this firm since 3/20/2007

Previous Registration(s)
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B
07/03/2006 - 03/22/2007 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
IA
12/11/2006 - 02/20/2007 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.