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JH

Joshua S. Hasselbach

TRADEWELL SECURITIES
FORT WAYNE, IN 46802
Some features on this profile are disabled
CRD#: 4876296
JH

Professional summary

Joshua Scott Hasselbach, who also goes by Josh Hasselbach, Joshua Scott Hasselbach Mr, is a registered financial advisor currently at TRADEWELL SECURITIES, LLC located in Fort Wayne, Indiana.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Joshua has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, Series 57TO, SIE, Series 87, Series 3, Series 55, Series 7, Series 14, Series 24, Series 10, Series 9, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Josh Hasselbach | Joshua Scott Hasselbach Mr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Scott Hasselbach's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 14, 2025 - Present

TRADEWELL SECURITIES, LLC

Office #1: 130 West Main Street #100, Fort Wayne, IN 46802
RIA
CRD#: 332473
FORT WAYNE, IN
Past

November 8, 2024 - February 25, 2025

CX INSTITUTIONAL, LLC

RIA
CRD#: 292627
AUBURN, IN
Past

June 30, 2021 - September 9, 2021

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA
CRD#: 288199
AUSTIN, TX
Past

July 8, 2015 - June 30, 2021

USCA RIA LLC

RIA
CRD#: 152170
DALLAS, TX
Past

July 6, 2015 - August 20, 2021

USCA SECURITIES LLC

BD
CRD#: 103789
DALLAS, TX
Past

February 6, 2014 - November 6, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
LATHAM, NY
Past

November 8, 2013 - November 6, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LATHAM, NY
Past

June 27, 2011 - November 8, 2011

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

August 15, 2008 - June 20, 2011

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

October 12, 2005 - August 8, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 13, 2005 - October 13, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TS
TRADEWELL SECURITIES, LLC
INDIANA TAX ADVISORY GROUP, INC | TRADEWELL TAX & FINANCIAL | TRADEWELL SECURITIES, LLC

CRD#: 332473 / SEC#: 801-130935

RIA
Registered Investment Advisory firm - (8/16/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Indiana
(4/14/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/31/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/31/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 3/28/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 3/28/2024
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 11/14/2016
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 3
Date: 11/21/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/14/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/12/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 3/28/2024
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/28/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/28/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/28/2024
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/28/2024
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/28/2024
Registered Options Principal Examination

Current Firm

TS
TRADEWELL SECURITIES, LLC
INDIANA TAX ADVISORY GROUP, INC | TRADEWELL TAX & FINANCIAL | TRADEWELL SECURITIES, LLC

CRD#: 332473 / SEC#: 801-130935

RIA
Registered Investment Advisory firm - (8/16/2024 Approved)
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Contact information

Main Address
130 West Main Street #100, Fort Wayne, IN 46802
Mailing Address
Phone number
(260) 490-2084
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A- TRADEWELL SECURITIES, LLC (6/12/2025)

Regulatory assets under management

Total Number of Accounts1,080
AUM (Assets Under Management)$ 267,005,281

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TRADEWELL SECURITIES, LLC

CRD#: 332473Fort Wayne, IN 46802

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