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James Fitzcharles

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL

Denver, CO

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-09-09
PA RA APPROVED 2020-03-09
TX RA APPROVED 2017-01-04
FL RA APPROVED 2016-12-14
  • CO RA
    APPROVED
    Since 2022-09-09
  • PA RA
    APPROVED
    Since 2020-03-09
  • TX RA
    APPROVED
    Since 2017-01-04
  • FL RA
    APPROVED
    Since 2016-12-14

Branch Locations

200 S Biscayne Blvd, Miami, FL 33131 • United States

370 17Th St, Denver, CO 80202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 08/2016 Present
Bank Of America, N.A. Miami FL 01/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-12
  • S66 Uniform Combined State Law Examination
    2016-12-12
Other Names
  • James Fitzcharles
  • James Fitzcharles

View on SEC IAPD

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ESCHATON OPPORTUNITIES FUND MANAGEMENT LP · MIAMI, FL
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP. · MIAMI, FL
PILOTAI WEALTH · MIAMI, FL
ARKHE WEALTH MANAGEMENT · MIAMI, FL
SAMUEL & ASSOCIATES INVESTMENT MANAGEMENT LP · MIAMI, FL

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