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Vincent Lucchesi Fired from UBS Financial Services

Vincent Lucchesi (CRD #: 1444054), a broker registered with J. Alden Associates, has been fired from another firm, according to his BrokerCheck record, accessed on January 5, 2025. Investors may have also worked with him through Alden Investment Group. Keep reading if you have questions about his alleged conduct as a broker.

Termination from UBS Financial Services

On December 13, 2024, Vincent Lucchesi was fired from UBS Financial Services following allegations that he altered client account statements.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Vincent Lucchesi has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • Futures Managed Funds Examination – Series 31
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66

Vincent Lucchesi is a registered broker in 14 states and a registered investment adviser in New Jersey.

He has also worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • Morgan Stanley DW (CRD#:7556)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Guardian Investor Services (CRD#:6635)

Kurta Law Can Help

If you worked with Vincent Lucchesi and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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