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CB

Christopher A. Basler

TRADEWEB LLC
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 6140861
CB

Professional summary

Christopher August Basler, who also goes by Chris Baze, is a registered financial professional currently at TRADEWEB LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2013. Christopher has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Baze

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) - BD

Click below to view Christopher August Basler's 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

June 1, 2015 - Present

TRADEWEB LLC

Office #1: 245 Park Avenue 30th Floor, New York, NY 10167
BD
CRD#: 42759
NEW YORK, NY
Past

August 12, 2013 - May 27, 2015

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/1/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/11/2014
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/12/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TL
TRADEWEB LLC
TRADEWEB | TRADEWEB LLC | TRADEWEB L.L.C

CRD#: 42759 / SEC#: , 8-49994

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(646) 430-6000
Established
Delaware since 01/27/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRADEWEB GLOBAL LLCOWNER
BRUNER, CHRISTIAN ADAMBOARD MEMBER5661505
CLACK, AMYBOARD MEMBER4882071
FRIEDMAN, DOUGLAS L.GENERAL COUNSEL5121291
MCGUIRE, MICHAEL TERRENCECHIEF COMPLIANCE OFFICER2267871
PITTINSKY, JONATHAN DAVIDCHIEF FINANCIAL OFFICER4291263
PITTINSKY, JONATHAN DAVIDDIRECTOR OF FINANCIAL OPERATIONS, FIN-OP PRINCIPAL4291263
SERRAO, ASHLEY NEILBOARD MEMBER5360541
WOOD, ELISABETH KIRBYBOARD MEMBER4929181

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

TRADEWEB LLC

CRD#: 42759New York, NY 10167

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