L
James

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#846353
Investment Advisor
in Raleigh, NC
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About this Advisor

L James is a certified financial planner whose office is in Raleigh, North Carolina. Currently a registered advisor with Merrill Lynch, Pierce, Fenner & Smith Inc, James has a notable 41 years of practice in the financial advisory industry. James maintains Series 63 and Series 65 licenses, which designate them as both a securities agent and an investment advisor representative. James can operate based out of North Carolina and Texas. Over the course of their career, James has held roles at Bank Of America, N.A and Merrill Lynch, Pierce, Fenner & Smith Inc. Merrill Lynch, Pierce, Fenner & Smith Inc is located in Raleigh, North Carolina, and has 2,958 additional brick-and-mortar locations across the United States. In aggregate, Merrill Lynch, Pierce, Fenner & Smith Inc manages $820 billion in assets throughout 2,272,151 client accounts and employs more than 40,146 people. The firm's total assets under management places it among the biggest firms in the nation. The firm manages 755,507 accounts on a discretionary basis, meaning the advisor makes investment decisions at their discretion. Currently 3% of the advisory firm's customers are high-net-worth individuals, meaning they have greater than $1 million in capital. Merrill Lynch, Pierce, Fenner & Smith Inc can provide financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. The firm's fees may include asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

41 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Disclosures

Yes

Office Location

4242 Six Forks Rd
Raleigh, NC 27609

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$819,825,501,997

NC Average: $7,464,549,021
Total Number of Employees

40,146

NC Average: 88
Total Number of Accounts

2,272,151

NC Average: 3,892
Average Account Size

$360,815

NC Average: $1,917,921

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Other

L James Work History

L has 41 years of experience.

2011 - Present (8 years)

Bank Of America, N.A

1977 - Present (42 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

Disclosures

L James has disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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