James W Moore

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

• 07/2014 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boston, MA
• 12/2014 → Present
  Bank Of America, N.A.
  Boston, MA

Other Businesses

I*: 2247289 Entity Type: 2247289 Name of OBA: Riptide Wrestling Club Address: Hanover, MA 02339 Investment Related: No Position, Title, Association: Coach Employee Start Date: 03/20/2025 Number of Hours: 2 hrs wkly Number of Hours during trading: 0 Duties: This is a wrestling club. The purpose is to teach the sport of wrestling to kids from kindergarten to senior in high school.

Exams

• S66 Uniform Combined State Law Examination
  2014-10-06