Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Breeden is an active investment advisor representative with UBS Financial Services Inc. Joshua has been in the financial industry since November 1995, and is registered with FINRA and the states of Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, and Wyoming. Joshua has passed several industry exams including Series 63, 65, 7, 10, 9, 31 and SIE. Joshua is a partner in Brose LLC, a real estate development and investment firm. Prior to joining UBS Financial Services Inc. Joshua was employed by Morgan Stanley.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
04/20/2020 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
06/01/2009 - 03/24/2020
MORGAN STANLEY (SANTA CRUZ CA)
CA
07/30/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CAPITOLA CA)
NY
11/16/1995 - 08/27/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/14/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/09/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 11/15/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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