JN
JN
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. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
101 West Elm Street, Conshohocken, PA, 19428
Get directionsHistory
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 2009Denied
Employment History
Current Registrations
UBS Financial Services INC.
October 2015 - Present · 11 yrs
UBS Financial Services INC.Broker
October 2015 - Present · 11 yrs
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 Registrations25 states
AZCOCTDCDEFLGAILINKYLAMAMDMINCNHNJNVNYOHPASCTXVAWA
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.
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