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James Patrick Powner

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Brick, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2004-10-07
NJ RA APPROVED 2002-12-06
  • TX RA
    APPROVED_RES
    Since 2004-10-07
  • NJ RA
    APPROVED
    Since 2002-12-06

Branch Locations

1100-1800 American Blvd Ci Client Management, Pennington, NJ 08534 • United States

Brick, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith, Inc. Pennington NJ 08/1999 Present
Bank Of America, Na Pennington NJ 09/2009 Present
  • 08/1999 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Pennington, NJ
  • 09/2009 → Present
    Bank Of America, Na
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-08
S63 Uniform Securities Agent State Law Examination 1988-05-12
  • S66 Uniform Combined State Law Examination
    2001-10-08
  • S63 Uniform Securities Agent State Law Examination
    1988-05-12

View on SEC IAPD

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