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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

JAMES RYAN NASTASI

Advisor at UBS FINANCIAL SERVICES INC.

CONSHOHOCKEN, PA

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Search this name across graphsid dfx:ria:24ad5174-e1cd-37a7-5e12-c600f6014af8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 27, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 19, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Apr 19, 2002
First registration: May 27, 2003
Dual registered: yes, broker-dealer
Other names: JIM NASTASI
IAPD individual key: 4016611

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 27, 2015	n/a	yes	CONSHOHOCKEN, PA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 29, 2015	no	BLUE BELL, PA\|Blue Bell, PA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	BLUE BELL, PA	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 20, 2007	Apr 2, 2007	no	BLUE BELL, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 1, 2004	Feb 22, 2007	no	PLYMOUTH MEETING, PA\|KING OF PRUSSIA, PA	Previous registration
J.J.B. HILLIARD, W.L. LYONS, LLC	Former SEC adviser	May 27, 2003	Jan 1, 2004	no	CONSHOHOCKEN, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Oct 29, 2015	Oct 27, 2015	-2	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
PNC WEALTH MANAGEMENT	MORGAN STANLEY DW INC.	Feb 22, 2007	Feb 20, 2007	-2	Firm change	Other
J.J.B. HILLIARD, W.L. LYONS, LLC	PNC WEALTH MANAGEMENT	Jan 1, 2004	Jan 1, 2004	0	Bulk transfer	Other

Relationships

Registered with (6)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Oct 27, 2015 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 29, 2015factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 20, 2007 to Apr 2, 2007factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 1, 2004 to Feb 22, 2007factForm ADV
→ J.J.B. HILLIARD, W.L. LYONS, LLCRegistered adviserregistration: previous registration
May 27, 2003 to Jan 1, 2004factForm ADV

Dated events

No dated event names this entity yet.