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James Michael Ocasio

Fidelity Institutional Wealth Adviser LLC

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About James Michael Ocasio

James Michael Ocasio is a Registered Representative and Investment Advisor Representative with Fidelity Institutional Wealth Adviser LLC. James has been in the industry since 2013 and has been registered with UBS Financial Services Inc. and Hightower Securities, LLC. James has experience in providing investment advice to both individuals and businesses, and specializes in portfolio management. James holds a Series 7TO, Series 66, and SIE. James is currently registered with the state of Texas.

Firm Information

James Ocasio is currently registered with Fidelity Institutional Wealth Adviser LLC. Fidelity Institutional Wealth Adviser LLC is a Boston-based wealth management firm with over $3.9 billion in regulatory assets under management. They provide portfolio management services to individuals, corporations, and other institutions, including pension plans and investment companies. They offer both discretionary and non-discretionary investment advice. The firm also provides educational seminars and selects other advisors for their clients. They have a wrap fee program, and are registered with the SEC.
Fidelity Institutional Wealth Adviser LLC

245 SUMMER STREET

BOSTON, MA 02210

$3.93B

Assets Under Management

47,856

Total Clients

34

Total Financial Advisors

Services Offered

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.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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overlay portfolio management; non-discretionary investment advice

Overlay portfolio management; non-discretionary investment advice

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Ocasio’s Registration & Firm History

NY

02/22/2023 - Present

Fidelity Institutional Wealth Adviser LLC (NEW YORK NY)

NY

03/29/2022 - 01/09/2023

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

NY

02/22/2022 - 03/24/2022

HIGHTOWER SECURITIES, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 05/05/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/22/2022

Series 7TO - General Securities Representative Examination

BC

Issued 12/09/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Michael Ocasio.
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