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James S Fitzgerald

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Leawood, KS

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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 2001-07-26
MO RA APPROVED 2001-04-17
KS RA APPROVED 1997-12-30
  • TX RA
    APPROVED_RES
    Since 2001-07-26
  • MO RA
    APPROVED
    Since 2001-04-17
  • KS RA
    APPROVED
    Since 1997-12-30

Branch Locations

3401 College Blvd, Leawood, KS 66211 • 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 Kansas City MO 02/1997 Present
Bank Of America, N.A. Kansas City MO 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-23
S63 Uniform Securities Agent State Law Examination 1997-05-12
  • S65 Uniform Investment Adviser Law Examination
    1997-05-23
  • S63 Uniform Securities Agent State Law Examination
    1997-05-12
Other Names
  • James S Fitzgerald
  • Scott Fitzgerald
  • James Scott Fitzgerald

View on SEC IAPD

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