James Ocasio is a registered investment advisor, based in New York, NY, with 3 years of industry experience.
Location
New York, NY
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Fidelity Brokerage Services LLCBroker
July 2023 - Present · 2 yrs 9 mos
Fidelity Brokerage Services LLC
July 2023 - Present · 2 yrs 9 mos
Fidelity Institutional Wealth Adviser LLC
February 2023 - Present · 3 yrs 2 mos
Fidelity Distributors Company LLCBroker
January 2023 - Present · 3 yrs 3 mos
Fidelity Distributors Company LLC
January 2023 - Present · 3 yrs 3 mos
Previous Registrations
UBS Financial Services INC.
May 2022 - January 2023 · 8 mos
UBS Financial Services INC.Broker
March 2022 - January 2023 · 10 mos
Hightower Securities, LLCBroker
February 2022 - March 2022 · 1 mo
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.