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James King

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Burlington, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2019-11-27
TX RA APPROVED 2019-07-03
PA RA APPROVED 2019-06-24
  • NJ RA
    APPROVED
    Since 2019-11-27
  • TX RA
    APPROVED
    Since 2019-07-03
  • PA RA
    APPROVED
    Since 2019-06-24

Branch Locations

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States

25 Burlington Mall Rd Workplace Benefits, Burlington, MA 01803 • 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 Wayne PA 04/2005 05/2019
Bofa Securities, Inc. Wayne PA 05/2019 06/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wayne PA 06/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-12
  • S66 Uniform Combined State Law Examination
    2005-08-12
Other Names
  • James Michael King

View on SEC IAPD

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