James Scott Rochford

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2004-10-20

TX RA
APPROVED

Since 2004-10-20

Branch Locations

45 William St, Wellesley Hills, MA 02481 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith, Inc.	Wellesey	MA	05/2003	Present
Bank Of America, Na	Wellesey	MA	12/2009	Present

05/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith, Inc.

Wellesey , MA
12/2009 → Present

Bank Of America, Na

Wellesey, MA

Other Businesses

I*43622 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: EXCHANGE CLUB OF NEEDHAM MA INVESTMENT RELATED: N ADDRESS OF BUSINESS: HIGHLAND AVE, NEEDHAM, MASSACHUSETTS 2494 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 7/1/2011 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CHARITABLE EFFORTS AIMED AT BENEFITTING TOWN CAUSES I.E. SCUICIDE PREVENTION, SCHOLARSHIPS, TOYS FOR TOTS ETC.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-10-06

S63 Uniform Securities Agent State Law Examination

1989-10-06

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews