James Michael Ocasio

Fidelity Institutional Wealth Adviser LLC

3 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

Fidelity Institutional Wealth Adviser LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

41 advisors

Number of Clients

52,688 clients

Average Client Portfolio

$123K average

Assets Under Management

$6.5B

Fee Structure

Minimum Investment:$250K

Financial Planning:Investment management only

Location

New York, NY

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History

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.

Employment History

Current Registrations

Fidelity Brokerage Services LLC

July 2023 - Present · 2 yrs 7 mos

Fidelity Brokerage Services LLCBroker

July 2023 - Present · 2 yrs 7 mos

Fidelity Institutional Wealth Adviser LLC

February 2023 - Present · 3 yrs

Fidelity Distributors Company LLCBroker

January 2023 - Present · 3 yrs 1 mo

Fidelity Distributors Company LLC

January 2023 - Present · 3 yrs 1 mo

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

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.