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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 2014-06-11
FL RA APPROVED 2014-06-09
  • TX RA
    APPROVED_RES
    Since 2014-06-11
  • FL RA
    APPROVED
    Since 2014-06-09

Branch Locations

9000 Southside Blvd Central Business Review Unit, Jacksonville, FL 32256 • United States

Jacksonville, FL • 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 Jacksonville FL 01/2014 Present
Other Businesses

I*99611 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CBS INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW YORK, NEW YORK 10019 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 42679 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SIDELINE ASSISTANT FOR FOOTBALL GAMES AT EVERBANK FIELD

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-05
S63 Uniform Securities Agent State Law Examination 2007-01-11
  • S65 Uniform Investment Adviser Law Examination
    2014-06-05
  • S63 Uniform Securities Agent State Law Examination
    2007-01-11
Other Names
  • James P Coleman
  • James Paul Coleman

View on SEC IAPD

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