James C Steele

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2010 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mount Kisco, NY
• 11/2010 → Present
  Bank Of America,Na
  Mount Kisco, NY

Previous Registrations

• 2000-04-26 → 2003-05-29
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mt Kisco, NY

Other Businesses

I*: 2677265 Entity Type: Fiduciary Name of OBA: JMS TOD BENEFICIARIES ON FILE Address: LancasterPennsylvania17602 Investment Related: n Position, Title, Association: POA Employee Start Date: 08/08/2025 No Hours: 1hr/mo No Hours during trading:0 Duties: POA I*: 2677266 Entity Type: Fiduciary Name of OBA: MLPF& S CUST FPO JMS E IRA FBO JMS Address: LancasterPennsylvania17602 Investment Related: n Position, Title, Association: POA Employee Start Date: 08/08/2025 No Hours: 1hr/mo No Hours during trading:0 Duties: POA I*: 2677265 Entity Type: Fiduciary Name of OBA: MLPF& S CUST FPO JMS RRA FBO JMS Address: LancasterPennsylvania17602 Investment Related: n Position, Title, Association: POA Employee Start Date: 08/08/2025 No Hours: 1hr/mo No Hours during trading:0 Duties: POA

Exams

• S66 Uniform Combined State Law Examination
  1999-12-01

Other Names

• James C. Steele
• James Cameron Steele