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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-11-20
TX RA APPROVED_RES 2010-11-30
  • MN RA
    APPROVED
    Since 2013-11-20
  • TX RA
    APPROVED_RES
    Since 2010-11-30

Branch Locations

130 W Superior St, Duluth, MN 55802 • 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 Incorporated Duluth MN 06/1988 Present
Bank Of America, N.A. Duluth MN 05/2011 Present
Other Businesses

I*63432FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: JOYNES, INC.INVESTMENT RELATED: NADDRESS OF BUSINESS:GRAND MARAIS, MINNESOTA 55604NATURE OF BUSINESS: CORPORATION,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 7/13/2013NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: SMALL RETAIL DEPARTMENT STORE. I STILL ACT AS A DIRECTOR, BUT AM NOW A CO-OWNER. MONTHLY DIRECTOR MEETINGS AND VARIOUS LONGER TERM STRATEGY MEETINGS. I*81633FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: JOYNES ASSET MANAGEMENT NORTHINVESTMENT RELATED: NADDRESS OF BUSINESS:DULUTH, MINNESOTA 55803NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/1/2014NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THE ENTITY HOLDS PROPERTY I OWN AND RECEIVE RENTAL INCOME THROUGHI I*3398267, Entity Type: , Name of OBA: J R J TTEE U/A DTD 11/02/2007 BY J R J, Address: Duluth, Minnesota, 55803, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 12/29/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-08
S63 Uniform Securities Agent State Law Examination 1988-09-09
  • S65 Uniform Investment Adviser Law Examination
    1994-07-08
  • S63 Uniform Securities Agent State Law Examination
    1988-09-09
Other Names
  • Jim Joynes
  • Jim Joynes

View on SEC IAPD

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