Sean Michael James

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

• 07/2021 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 05/2019 → 11/2019
  Gaskin Asset Management
  Charlotte, NC
• 05/2015 → 04/2019
  Morrison Ymca
  Charlotte, NC
• 08/2016 → 06/2017
  Wheatley Management Company
  Charlotte, NC
• 07/2017 → 07/2021
  Appalachian State University
  Boone, NC
• 08/2013 → 07/2017
  Full-Time Education
  Charlotte, NC
• 06/2020 → 08/2020
  Bank Of America Private Bank
  Charlotte, NC

Other Businesses

I* 1283251, Entity Type Entity For Profit, Name of OBA: Uber Technologies, Inc. Address: San FranciscoCalifornia94103 Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date:05/05/2023 No Hours: 4 weekly No Hours during trading: 0 Duties: Ride sharing app where you transport individuals to their desired destinations

Exams

• S66 Uniform Combined State Law Examination
  2024-01-26

Other Names

• Sean Michael James
• Sean James