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James Michael Ocasio

Fidelity Institutional Wealth Adviser LLC

Tampa, FL

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Current Employers
Fidelity Institutional Wealth Adviser Llc

245 Summer Street, Boston, MA 02210 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-22
  • TX RA
    APPROVED
    Since 2023-02-22

Branch Locations

Tampa, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fischer And Company, Lp New York NY 06/2013 07/2018
Hightower Advisors New York NY 07/2018 03/2022
Ubs Financial Services New York NY 03/2022 12/2022
Fidelity Distributors Company Llc Smithfield RI 01/2023 Present
  • 06/2013 → 07/2018
    Fischer And Company, Lp
    New York, NY
  • 07/2018 → 03/2022
    Hightower Advisors
    New York, NY
  • 03/2022 → 12/2022
    Ubs Financial Services
    New York, NY
  • 01/2023 → Present
    Fidelity Distributors Company Llc
    Smithfield, RI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-05
  • S66 Uniform Combined State Law Examination
    2022-05-05

View on SEC IAPD

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