James David Marner

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-03-17
NJ	RA	APPROVED	2021-11-15
NY	RA	APPROVED	2021-11-12

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	03/2020	11/2021
Rutgers University	New Brunswick	NJ	09/2016	05/2020
5-Star Catering	Westfield	NJ	06/2016	09/2017
Darby Road Pub House	Scotch Plains	NJ	06/2018	09/2018
Axa Advisors	Woodbridge	NJ	01/2019	05/2019
Fromkin Brothers Inc.	Edison	NJ	05/2019	01/2020
Delta's	New Brunswick	NJ	01/2020	03/2020
Brave Spirits	Scotch Plains	NJ	06/2018	09/2018
Morgan Stanley Smith Barney Llc	New York	NY	11/2021	Present
Morgan Stanley Private Bank, N.A	New York	NY	09/2025	Present

03/2020 → 11/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
09/2016 → 05/2020

Rutgers University

New Brunswick, NJ
06/2016 → 09/2017

5-Star Catering

Westfield, NJ
06/2018 → 09/2018

Darby Road Pub House

Scotch Plains, NJ
01/2019 → 05/2019

Axa Advisors

Woodbridge, NJ
05/2019 → 01/2020

Fromkin Brothers Inc.

Edison, NJ
01/2020 → 03/2020

Delta's

New Brunswick, NJ
06/2018 → 09/2018

Brave Spirits

Scotch Plains, NJ
11/2021 → Present

Morgan Stanley Smith Barney Llc

New York, NY
09/2025 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-01-15

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