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James Sangyun Roh

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Beverly Hills, CA

Irvine, CA

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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 2009-06-18
CA RA APPROVED 1999-11-29
  • TX RA
    APPROVED_RES
    Since 2009-06-18
  • CA RA
    APPROVED
    Since 1999-11-29

Branch Locations

101 S Rodeo Dr, Beverly Hills, CA 90212 • United States

100 Spectrum Center Dr, Irvine, CA 92618 • 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 Beverly Hills CA 09/1999 Present
Bank Of America, N.A. Beverly Hills CA 09/2009 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-12-08
S65 Uniform Investment Adviser Law Examination 1997-12-08
  • S63 Uniform Securities Agent State Law Examination
    1997-12-08
  • S65 Uniform Investment Adviser Law Examination
    1997-12-08
Other Names
  • James Sangyun Roh

View on SEC IAPD

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