James M Stapleton

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2024-10-08
CA	RA	APPROVED	2018-07-18
NJ	RA	APPROVED	2018-03-02
TX	RA	APPROVED_RES	2016-07-27
CT	RA	APPROVED	2014-03-20

PA RA
APPROVED

Since 2024-10-08
CA RA
APPROVED

Since 2018-07-18
NJ RA
APPROVED

Since 2018-03-02
TX RA
APPROVED_RES

Since 2016-07-27
CT RA
APPROVED

Since 2014-03-20

Branch Locations

14 N Harrison St, Princeton, NJ 08542 • United States

100 Campus Dr Division - Mid Atlantic, Florham Park, NJ 07932 • United States

7 Roszel Rd, Princeton, NJ 08540 • United States

1040 Stony Hill Rd, Yardley, PA 19067 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boston	MA	04/2011	Present
Bank Of America, N.A.	Boston	MA	09/2011	Present

04/2011 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA
09/2011 → Present

Bank Of America, N.A.

Boston, MA

Previous Registrations

2010-03-15 → 2011-04-28

Equitable Advisors, Llc

Edison, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-03-10

S66 Uniform Combined State Law Examination

2010-03-10

Other Names

James Matthew Stapleton

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews