James Marshall Stevens

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

• 09/2016 → 05/2020
  Bates College
  Lewiston, ME
• 04/2020 → Present
  Rock Hard Seltzer, Llc
  North Kingstown, RI
• 06/2020 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 06/2019 → 08/2019
  Treasury Partners-Hightower
  New York, NY
• 07/2018 → 08/2018
  Startup Rounds, Llc
  North Township, RI
• 06/2020 → 08/2022
  Equitable Advisors, Llc
  New York, NY
• 08/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 09/2022 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2020-09-09 → 2022-09-01
  Equitable Advisors, Llc
  New York, NY

Other Businesses

Rock Hard Seltzer, LLC Start Date: 04/2020 Devoted Hours per month: 15 I devote no time to this entity during the securities trading hours. I help with creating relationships with manufacturers and formula creators.

Exams

• S66 Uniform Combined State Law Examination
  2020-08-28

Other Names

• Jim Stevens
• James Stevens