Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Nastasi is a financial advisor with UBS Financial Services Inc., having joined the firm in October 2015. James's professional career in the financial services industry began in November 2001. Previously, he has held positions with Morgan Stanley and PNC Investments. James holds FINRA Series 66, 7 and SIE licenses and is registered in multiple states to provide investment advice.
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
PA
10/27/2015 - Present
UBS Financial Services Inc. (CONSHOHOCKEN PA)
PA
06/01/2009 - 10/29/2015
MORGAN STANLEY (BLUE BELL PA)
PA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BLUE BELL PA)
PA
02/16/2007 - 04/02/2007
MORGAN STANLEY DW INC. (BLUE BELL PA)
PA
01/01/2004 - 02/22/2007
PNC INVESTMENTS (PLYMOUTH MEETING PA)
KY
06/01/2002 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
11/08/2001 - 06/01/2002
PNC BROKERAGE CORP (PITTSBURGH PA)
BOTH
Issued 04/19/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2001
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 Nastasi is the right advisor for you? Invested Better is here to help.
