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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Vicenzi is a financial advisor at UBS Financial Services Inc. James has been in the financial services industry since 1995 and has a wide range of experience. James has worked at several firms, including Morgan Stanley, Citigroup Global Markets Inc., and Unum Sales Corporation. James holds several licenses, including the Series 7, Series 6, Series 63, Series 66, and Series 26. James is also a Certified Financial Planner. James's areas of expertise include financial planning, portfolio management, and investment advisory services. James is committed to providing his clients with the highest level of service and personalized attention.
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
ME
03/12/2019 - Present
UBS Financial Services Inc. (PORTLAND ME)
ME
06/01/2009 - 04/07/2015
MORGAN STANLEY (PORTLAND ME)
ME
08/02/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PORTLAND ME)
ME
09/16/1988 - 09/27/1995
UNUM SALES CORPORATION (PORTLAND ME)
MA
06/23/1986 - 07/20/1988
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
NA
05/17/1984 - 05/07/1986
SUN INVESTMENT SERVICES COMPANY
BOTH
Issued 08/15/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/14/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/17/1988
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2006
Series 7 - General Securities Representative Examination
BC
Issued 05/16/1984
Series 6 - Investment Company Products/Variable Contracts 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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