James F Fasi

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	1998-02-06
CT	RA	APPROVED	1990-08-28

TX RA
APPROVED_RES

Since 1998-02-06
CT RA
APPROVED

Since 1990-08-28

Branch Locations

One State Street Suite 1600, Hartford, CT 06103 • United States

90 State House Square 14Th Floor, Hartford, CT 06103 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Hartford	CT	05/1975	Present

05/1975 → Present

Ubs Financial Services Inc.

Hartford, CT

Other Businesses

Aimers Venture Partners, LLC / 6 Bassette LNWEST hartfordCT06117 / Health Care & Pharmaceuticals / Partnership / Aimers is a venture partnership with 8 partners that will pool their funds to invest startup companies / I give my opinion as to whether a particular startup company should be added to our portfolio / 6/5/2020

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-04-10
S63	Uniform Securities Agent State Law Examination	1985-09-13

S65 Uniform Investment Adviser Law Examination

1995-04-10
S63 Uniform Securities Agent State Law Examination

1985-09-13

Designations

Other Names

Jim Fasi
James F Fasi
James F F Fasi

View on SEC IAPD