James J Maloney

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

• 06/2010 → 04/2019
  Hudson Heritage
  Croton-On-Hudson, NY
• 04/2019 → 09/2020
  Citizens Bank
  East Haven, CT
• 09/2020 → 04/2021
  Citizens Securities Inc
  Nashua, NH
• 05/2021 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Ridgefield, CT
• 05/2021 → Present
  Bank Of America, N.A.
  Ridgefield, CT
• 07/2018 → 08/2018
  M And T Bank
  Redding, CT

Previous Registrations

• 2020-10-14 → 2021-04-15
  Citizens Securities, Inc.
  Nashua, NH
  Hudson, NH
• 2005-04-26 → 2006-11-14
  Chase Investment Services Corp.
  New York City, NY
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2020-10-13
• S65 Uniform Investment Adviser Law Examination
  1998-03-06
• S63 Uniform Securities Agent State Law Examination
  1998-02-13

Other Names

• James Joseph Maloney