JP
James Pellicane
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CRD#: 1317642
JP
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Pellicane, who also goes by James Michael Pellicane Jr, James Michael Pellicane, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 15, Series 5, Series 7, Series 10, Series 24, Series 53, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Michael Pellicane Jr | James Michael Pellicane
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)Cboe Global Markets //400 South LaSalle Street//Chicago // Illinois, 60605 // United States// www.cboe.com/ Company// Financial (Consumer & Investment Services) // Cboe is one of the world's largest exchange holding companies, offering cutting-edge trading and investment solutions to investors around the world. Cboe offers trading across a diverse range of products in multiple asset classes and geographies, including options, futures, U.S. and European equities, exchange-traded products (ETPs), global foreign exchange (FX), and multi-asset volatility products. Our trading venues include the largest options exchange in the U.S. and the largest stock exchange by value traded in Europe. In addition, the company is the second-largest stock exchange operator in the U.S. and a leading market globally for ETP trading. // Advisor or advisory group member if advice given may influence an officer or board // The purpose of the Advisory Board of Cboe Exchange, Inc. (the Company) is to provide advice to the Company's Board of Directors (the Board) and management regarding issues of interest to Trading Permit Holders.// Role offered due to associatio with UBS?: Yes // Receive compensation?: Yes // Start Date 12/1/2018 2) Securities Trader Association / 22 Barnard PlaceManhassetNYUnited States11030 / sta@securitytraders.org / Banking (Retail, Investment, Merchant) / Association (e.g. Trade or Industry, Sport) / Security Traders Association (STA) is a grassroots organization comprised of 24 Affiliates in the U.S. and Canada. STA members represent individuals employed in the financial services industry across varying business models. STA educates its members on market structure issues while representing their interests with legislators, regulators and other industry associations. STA events keep attendees informed on industry trends and provide unique networking opportunities, which contribute to career development and productivity. STA is committed to promoting goodwill and fostering high standards of integrity in accord with its founding principle, dictum meum pactum, my word is my bond. / I have been asked to be a member of 2 committees in STA the Retail Advisory Committee, and the Market Structure Committee / Member of a committee representing the interests of any third party / 5/3/2021 3)NAME OF OTHER BUSINESS: PellCo Parners, LLC / INVESTMENT RELATED?: Y/ ADDRESS: 23 Hemlock Road, Short Hills / NATURE OF THE BUSINESS: private investing / POSITION: Proprietor / owner/ DUTIES: President / START DATE: 11/30/2007 / HOURS DEVOTED TO BUSINESS: NA
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 28, 2016 - May 13, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
May 24, 2012 - May 13, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 17, 2004 - November 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
December 19, 2000 - July 24, 2001
BONDBOOK, LLC
BD
CRD#: 104209
NEW YORK, NY
Past
May 25, 1988 - November 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 20, 1985 - May 28, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/11/1987
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 8/8/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/18/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
