Best Investors Account Sign in

James Edward Vicenzi

Ubs Financial Services Inc.

Portland, ME

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-03-12
ME RA APPROVED 2015-03-27
  • TX RA
    APPROVED
    Since 2019-03-12
  • ME RA
    APPROVED
    Since 2015-03-27

Branch Locations

One City Center 10Th Floor, Portland, ME 04101 • 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
Ubs Financial Services Inc. Portland ME 03/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-15
S63 Uniform Securities Agent State Law Examination 1984-09-14
  • S66 Uniform Combined State Law Examination
    2006-08-15
  • S63 Uniform Securities Agent State Law Examination
    1984-09-14
Designations

View on SEC IAPD

Other Firms

PORTLAND FINANCIAL PLANNING GROUP
J.P. MORGAN SECURITIES LLC
GREAT DIAMOND PARTNERS, LLC
HARBOR INVESTMENT ADVISORS
BIGELOW INVESTMENT ADVISORS, LLC
MASCOMA WEALTH MANAGEMENT
MAINE SECURITIES CORPORATION
PENOBSCOT FINANCIAL ADVISORS

Other Investors

BRIAN LUTHER DIETZ
William Emmet
JOHN MARSHALL PIPER
HELEN ELIZABETH ANDREOLI
WYATT ANDREOLI
STEPHEN DANIEL POULOS
JOSEPH WILLIAM POWERS
LISA SUSAN DEMERS

Other Offices

PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
J.P. MORGAN SECURITIES LLC · Portland, ME
GREAT DIAMOND PARTNERS, LLC · PORTLAND, ME
HARBOR INVESTMENT ADVISORS · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · Portland, ME
MASCOMA WEALTH MANAGEMENT · Portland, ME

More in Portland, ME

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor