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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 2009-12-23
CT RA APPROVED 2009-11-13
  • TX RA
    APPROVED_RES
    Since 2009-12-23
  • CT RA
    APPROVED
    Since 2009-11-13

Branch Locations

63 Copps Hill Rd, Ridgefield, CT 06877 • 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 And Smith Incorporated Ridgefield CT 11/2009 Present
Bank Of America, N.A. Ridgefield CT 05/2012 Present
  • 11/2009 → Present
    Merrill Lynch, Pierce, Fenner And Smith Incorporated
    Ridgefield, CT
  • 05/2012 → Present
    Bank Of America, N.A.
    Ridgefield, CT
Previous Registrations
Other Businesses

I*2114288, Entity Type: Fiduciary, Name of OBA: RJM, Address: Milford, Connecticut, 06460, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 12/02/2029, No Hours: 15 Monthly, No Hours during Trading: 2 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-19
  • S66 Uniform Combined State Law Examination
    2007-10-19
Other Names
  • James John Mcintosh
  • James Mcintosh

View on SEC IAPD

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