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James Nastasi

24 Years of Experience
Conshohocken, PA
1 DisclosureBroker

James Nastasi is a registered investment advisor at UBS Financial Services INC., based in Conshohocken, PA, with 24 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

101 West Elm Street, Conshohocken, PA, 19428

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2009
Denied
Employment History
Current Registrations
UBS Financial Services INC.
October 2015 - Present · 10 yrs 7 mos
UBS Financial Services INC.Broker
October 2015 - Present · 10 yrs 7 mos
Previous Registrations
Morgan Stanley
June 2009 - October 2015 · 6 yrs 4 mos
Morgan StanleyBroker
June 2009 - October 2015 · 6 yrs 4 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
February 2007 - April 2007 · 2 mos
Morgan Stanley Dw INC.Broker
February 2007 - April 2007 · 2 mos
PNC Investments
January 2004 - February 2007 · 3 yrs 1 mo
PNC InvestmentsBroker
January 2004 - February 2007 · 3 yrs 1 mo
Hilliard Lyons Asset Management
May 2003 - January 2004 · 8 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
June 2002 - January 2004 · 1 yr 7 mos
PNC Brokerage CORPBroker
November 2001 - June 2002 · 7 mos
State Registrations24 states
AZCOCTDEFLGAILINKYLAMAMDMINCNHNJNVNYOHPASCTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
James Nastasi - Financial Advisor | TrueAdvisor