Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Ducey is a financial advisor with over 38 years of experience in the industry. James Ducey has been associated with UBS Financial Services Inc. since February 2009 and has previously worked for Citigroup Global Markets Inc., Lehman Brothers Inc., Prudential Securities Incorporated, E. F. Hutton & Company Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James Ducey is registered to provide investment advice in 52 states, and holds a variety of industry licenses and certifications, including the Series 65, Series 63, Series 9, Series 10, Series 8, Series 3, and Series 7. James Ducey specializes in providing a variety of financial services to individuals and families, as well as to businesses, corporations, investment companies, insurance companies, charitable organizations, pension and profit sharing plans, state or municipal government entities, and other entities.
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
MA
06/28/2016 - Present
UBS Financial Services Inc. (BOSTON MA)
CT
07/31/1993 - 02/26/2009
CITIGROUP GLOBAL MARKETS INC. (GREENWICH CT)
NY
05/21/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
01/19/1988 - 05/01/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
12/26/1984 - 02/08/1988
E. F. HUTTON & COMPANY INC
NA
04/18/1984 - 11/09/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 7/9/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/29/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/1997
Series 3 - National Commodity Futures Examination
BC
Issued 4/14/1984
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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