James E Coker

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

• 06/2012 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Saratgoa Springs, NY
• 10/2012 → Present
  Bank Of America, N.A.
  Saratoga Springs, NY

Other Businesses

I*70827FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: JAMES COKERINVESTMENT RELATED: NADDRESS OF BUSINESS: SARATOGA SPRINGS, NEW YORK 12866NATURE OF BUSINESS: OTHER,SELFPOSITION, TITLE, ASSOCIATION: OTHER, SELFSTART DATE OF RELATIONSHIP: 3/25/2014NUMBER OF HOURS DEVOTED: 6 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MUSICAL PERFORMANCE WITH A LOCAL CHAMBER ORCHESTRA.I*105272FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ALBANY PRO MUSICAINVESTMENT RELATED: NADDRESS OF BUSINESS:TROY, NEW YORK 12180NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 5/2/2017NUMBER OF HOURS DEVOTED: 10 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MUSICIAN (DOUBLE BASS) WITH A CLASSICAL ORCHESTRA. I*3841288 Entity Type: N/A Name of OBA: M C Address: Halfmoon, New York, 12065 Investment Related: No Position, Title, Association: Employee Start Date: 02/25/2026 Number of Hours: 0, Monthly Number of Hours during trading: 0, Monthly Duties: POA for my Mother. None at present.

Exams

• S66 Uniform Combined State Law Examination
  2012-09-20

Other Names

• James Edward Coker