Vince Lucchesi: Alden Advisor Resigns from UBS

Red Bank, New Jersey financial advisor Vince Lucchesi (CRD# 1444054) recently resigned from UBS Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group.

Mr. Lucchesi’s BrokerCheck report discloses his resignation from UBS Financial Services. Filed in December 2024, it states that he left the firm in connection with allegations that he altered client account statements. In the disclosure, he writes that he did not use the statements for any purpose and kept them in his desk until 2024, “when I put them in a shredding bin before I resigned from the firm.”

Alden Investment Group’s website includes a profile of Mr. Lucchesi that describes his background and services as a Managing Director at the firm. “Vince excels at navigating the complexities of each client’s unique financial situation so that they can focus on what matters most to them,” it explains. “As part of his comprehensive approach to wealth management, Vince creates tailored portfolio solutions by leveraging institutional managers to implement clients’ financial plans.”

Elsewhere, the firm’s website includes a page describing its own history and services. “We utilize our team’s many decades of experience and expertise to bridge traditional securities products with the new ways of investing in the challenging and ever-evolving regulatory landscape,” it explains. “Few independent asset management companies also have their own broker dealer, which gives us a large degree of control and flexibility around our businesses. In addition, our independence from large brokerage companies allows us to utilize a wide range of products not available at other firms to help our clients achieve their financial goals.”

According to the Financial Industry Regulatory Authority, Vince Lucchesi holds 26 years of securities industry experience. Based in Red Bank, New Jersey, he has been registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group since December 2024. His past registrations include UBS Financial Services, Morgan Stanley, Merrill Lynch, and Guardian Investor Services. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; the General Securities Representative Examination, or Series 7; the Uniform Combined State Law Examination, or Series 66. He is licensed in California, Colorado, Delaware, Florida, Louisiana, New Jersey, New York, Pennsylvania, and Virginia. (Information current as of December 23, 2024.)

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