James Michael Quigley

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

• 03/2011 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ

Other Businesses

I*2026472, Entity Type, Entity for Profit, Name of OBA: TBD, Address: Howell, NJ, 07731, Investment Related: No, Position, Title, Association: Owner, Employee Start Date: 11/01/2024, No Hours: 1hr/Ann, No Hours during trading: 0, Duties: I am interested in starting a business to sell a product on Amazon. I have not started this yet and wanted to obtain approval of this OBA prior to engaging in this. Amazon offers 2 ways to sell, one is Fulfilled by Merchant where the seller handles all aspects of the sales from shipping to customer service. The other way is Fulfilled By Amazon which is where you pay Amazon to handle everything from shipping to customer service. This is the way I would choose since it would not interfere with my normal bofa work hours. The items would be sent directly from the manufacture to an amazon warehouse. From there Amazon handles everything. Little time would be spent by me managing the business so this would not interfere in anyway with my normal bofa work hours. The only time spent by me would be creating the initial sales listing and paying for the initial purchase order from the manufacturer. Both which can be done outside work hours. This would be considered passive income for me.

Exams

• S66 Uniform Combined State Law Examination
  2015-12-15

Other Names

• James Quigley