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James Baratta

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

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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 2022-06-03
NJ RA APPROVED 2022-04-13
  • TX RA
    APPROVED
    Since 2022-06-03
  • NJ RA
    APPROVED
    Since 2022-04-13

Branch Locations

1100-1800 American Blvd Ci Client Management, Pennington, NJ 08534 • 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
Cantor Fitzgerald & Co. New York NY 06/2011 06/2021
Cantor Fitzgerald & Co Conshohocken PA 06/2021 02/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 02/2022 Present
Bank Of America, N.A. Pennington NJ 04/2022 Present
  • 06/2011 → 06/2021
    Cantor Fitzgerald & Co.
    New York, NY
  • 06/2021 → 02/2022
    Cantor Fitzgerald & Co
    Conshohocken, PA
  • 02/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Pennington, NJ
  • 04/2022 → Present
    Bank Of America, N.A.
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-11
S63 Uniform Securities Agent State Law Examination 1997-11-18
  • S66 Uniform Combined State Law Examination
    2022-04-11
  • S63 Uniform Securities Agent State Law Examination
    1997-11-18
Other Names
  • James John Baratta
  • Jim J Baratta

View on SEC IAPD

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