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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-01-21
TX RA APPROVED 2004-07-06
  • LA RA
    APPROVED
    Since 2015-01-21
  • TX RA
    APPROVED
    Since 2004-07-06

Branch Locations

1809 Glenmar Ave, Monroe, LA 71201 • 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 Inc. Monroe LA 02/2003 Present
Bank Of America,N.A. Monroe LA 06/2011 Present
  • 02/2003 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Monroe, LA
  • 06/2011 → Present
    Bank Of America,N.A.
    Monroe, LA
Other Businesses

I*114891 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 3 ACES LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: WEST MONROE, LOUISIANA 71291 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 7/2/2018 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MYSELF, BRIAN AVARA, AND DARRYL BEASLEY ARE STARTING AN LLC TO BUY AN AIRPLANE. THIS IS ONLY TO PROTECT US. WE WILL HAVE A BANKING ACCOUNT ESTABLISHED EVENTUALLY TO HOLD OUR PAYMENTS AND RENTAL DOLLARS FROM OURSELVES IN ORDER TO KEEP CLEAN ACCOUNTING I*1340265 For profit or not for profit: Entity For Profit Name of outside business organization: JEMA Investments Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member","Director","Owner"], Start date of relationship: 7/1/2023 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Unimproved Property Investment I*1363275 For profit or not for profit: Entity For Profit Name of outside business organization: Breaux Farm and Ranch Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 7/1/2023 Number of hours devoted: 10 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , To purchase land that we may or may not harvest trees on said property. The sale of timber will be the only income if it occurs I*1363278 For profit or not for profit: Entity For Profit Name of outside business organization: Pine Hills Equine Vet LLC Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 7/14/2023 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am no a member or manager of this LLC. I am only a 50% owner in the company by community property law, Veterinary Medicine on Large Animal I*1363277 For profit or not for profit: Entity For Profit Name of outside business organization: Pine Hills Vet LLC Investment related: N Address of business: calhoun, Louisiana, 71225, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 7/14/2023 Number of hours devoted: 15 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: I am not a member or manager in the LLC - by community property laws I am a 50% owner in the business and will be involved in all aspects of the business except the actual practice of Veterinary medicine., None - Business consultant / CFO for my Wife's Vet clinic. I'm sure I'll be involved in finances but not day to day stuff. Just high level.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-29
  • S66 Uniform Combined State Law Examination
    2003-10-29
Other Names
  • James Breaux
  • James Joseph Breaux
  • James Joseph Breaux

View on SEC IAPD

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