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 UBS Financial Services Inc. based in BOSTON, MA. James Edward Ducey has been in the financial services industry since 1984 and has experience working with a variety of clients including individuals, corporations, and charitable organizations. James Edward Ducey is also registered as an Investment Advisor Representative with the state of Connecticut, Florida, New Hampshire, and Texas.
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 07/09/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/29/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/1997
Series 3 - National Commodity Futures Examination
BC
Issued 04/14/1984
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
Not sure James Ducey is the right advisor for you? Invested Better is here to help.
