James Steven Gavegan

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

• 07/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
  Grand Junction, CO
• 05/2011 → Present
  Bank Of America, N.A.
  Grand Junction, CO

Previous Registrations

• 2008-01-01 → 2009-07-08
  Wells Fargo Clearing Services, Llc
  Grand Junction, CO
• 2007-01-23 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Grand Junction, CO
  St. Louis, MO

Other Businesses

I*4397267 Entity Type: Fiduciary role Name of OBA: R. G. Address: Grand Junction, Colorado, 81505 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/20/2026 Number of Hours: 10, Yearly Number of Hours during trading: 3, Yearly Duties: Power of Attorney/Spouse

Exams

• S66 Uniform Combined State Law Examination
  2007-01-22