James J King

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

• 03/2013 → 11/2016
  Wells Fargo Advisors, Llc
  Charlotte, NC
• 11/2016 → 05/2022
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 05/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC

Previous Registrations

• 2013-03-27 → 2022-05-23
  Wells Fargo Clearing Services, Llc
  St. Louis, MO
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
• 2011-03-11 → 2013-03-15
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
  Charlotte, NC
  New York, NY
• 2009-02-03 → 2011-03-10
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC

Other Businesses

JJ KING PHOTOGRAPHY; NOT INVESTMENT RELATED; CHARLOTTE, NC; WEDDING AND EVENT PHOTOGRAPHY; OWNER; 3/2009; HOURS VARY PER MONTH; ZERO HOURS DEVOTED DURING SECURITIES TRADING HOURS; EVENT AND WEDDING PHOTOGRAPHY. MECKLENBURG COUNTY AQUATIC COUNCIL; NOT INVESTMENT RELATED; CHARLOTTE, NC; ADVISORY COUNCIL MEMBER; PROMOTE AQUATIC PROGRAM; START 4/2017; 3 HRS PER MONTH; 0 HRS DURING TRADING; DISCUSS ISSUES RELATED TO AQUATIC PROGRAMS WITHIN MECKLENBERG COUNTY, NC.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-01-28
• S63 Uniform Securities Agent State Law Examination
  1998-05-01

Other Names

• James Jeffrey King