James Sangyun Roh

$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:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-06-18
CA	RA	APPROVED	1999-11-29

Branch Locations

100 Spectrum Center Dr, Irvine, CA 92618 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Beverly Hills	CA	09/1999	Present
Bank Of America, N.A.	Beverly Hills	CA	09/2009	Present

09/1999 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Beverly Hills, CA
09/2009 → Present

Bank Of America, N.A.

Beverly Hills, CA

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-12-08
S65	Uniform Investment Adviser Law Examination	1997-12-08

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