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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 Fasi is a financial advisor with over 40 years of experience in the financial services industry. James Fasi is currently registered with UBS Financial Services Inc. James Fasi has also held previous registrations with PAINE, WEBBER, JACKSON & CURTIS INCORPORATED. James Fasi is licensed in 37 states and holds the Series 3, 7, 63, 65, and SIE licenses. James Fasi also holds the Certified Financial Planner designation. James Fasi has a wide range of experience in providing financial advice to individuals, businesses, and institutions. James Fasi specializes in providing financial planning, investment management, and retirement planning services.
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
CT
02/06/1998 - Present
UBS Financial Services Inc. (HARTFORD CT)
NA
10/03/1975 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 04/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/1982
Series 3 - National Commodity Futures Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 09/20/1975
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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