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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-10-06
NC RA APPROVED 2020-11-27
  • TX RA
    APPROVED
    Since 2021-10-06
  • NC RA
    APPROVED
    Since 2020-11-27

Branch Locations

8015 W Kenton Cir, Huntersville, NC 28078 • 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 Huntersville NC 02/2020 Present
Hill-Rom Corporation Inc Batesville IN 10/2015 02/2020
Bank Of America, N.A. Huntersville NC 04/2020 Present
Other Businesses

I*637247 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: Cornelius, North Carolina, 28031 Nature of business: Position, title, association: Sole owner, Start date of relationship: 7/1/2021 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-25
  • S66 Uniform Combined State Law Examination
    2020-11-25
Other Names
  • Jim F Fill
  • Jim F Fill
  • James Frank Fill

View on SEC IAPD

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