James Davidson Henry

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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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_RES	2017-02-10
NC	RA	APPROVED	2017-01-26

TX RA
APPROVED_RES

Since 2017-02-10
NC RA
APPROVED

Since 2017-01-26

Branch Locations

13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network, Llc	Charlotte	NC	09/2016	12/2016
Unemployed	Charlotte	NC	07/2016	09/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Charlotte	NC	01/2017	Present
Bank Of America, N.A	Charlotte	NC	07/2019	Present

09/2016 → 12/2016

Wells Fargo Advisors Financial Network, Llc

Charlotte, NC
07/2016 → 09/2016

Unemployed

Charlotte, NC
01/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC
07/2019 → Present

Bank Of America, N.A

Charlotte, NC

Previous Registrations

2016-10-26 → 2017-01-11

Wells Fargo Advisors Financial Network, Llc

Charlotte, NC
2014-09-23 → 2016-07-25

Ameriprise Financial Services, Llc

Clearwater, FL
2014-07-22 → 2014-09-16

Oppenheimer & Co. Inc.

Tampa, FL
2014-06-12 → 2014-07-10

Edward Jones

St Louis, MO

Clearwater, FL
2009-10-05 → 2014-06-12

Ameriprise Financial Services, Llc

Clearwater, FL

Tampa, FL

Tampa, FL
2007-10-09 → 2009-10-05

Ameriprise Advisor Services, Inc.

Tampa, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-10-04

S66 Uniform Combined State Law Examination

2007-10-04

Other Names

James Davidson Henry
James Henry

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC

MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC

MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC

LPL FINANCIAL LLC · CHARLOTTE, NC

ARKADIOS WEALTH ADVISORS · Charlotte, NC

MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC

TLG ADVISORS, INC. · Charlotte, NC

LPL FINANCIAL LLC · CHARLOTTE, NC

More in Charlotte, NC

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