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Joshua Ugaste Fired from First Command Brokerage Services

Joshua Ugaste (CRD #: 7004102), a broker formerly registered with First Command Brokerage Services, allegedly violated firm policy, according to his BrokerCheck record, accessed on April 12, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Termination from First Command Brokerage Services

On February 28, 2023, Joshua Ugaste was fired from First Command Brokerage Services after allegedly creating false entries in the firm’s books and records. The firm also alleged that he offered and/or sold securities without the appropriate licenses and state registrations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate books and records.

Background Information

Joshua Ugaste has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

He previously worked for First Command Brokerage Services (CRD#:3641).

Kurta Law Can Help

If you worked with Joshua Ugaste and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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