James T O'BRien

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

• 04/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boston, MA
• 10/2024 → 03/2025
  Unemployed
  Boston, MA
• 08/2024 → 10/2024
  Charlotte Checkers
  Charlotte, NC
• 04/2024 → 08/2024
  Unemployed
  Boston, MA
• 09/2023 → 04/2024
  Toronto Marlies
  Toronto
• 05/2020 → 06/2023
  Boston University
  Boston, MA
• 09/2014 → 09/2021
  Unemployed
  Hingham, MA
• 05/2025 → Present
  Bank Of America, N.A.
  Boston, MA

Other Businesses

Name of the other businessB. University young alumni councilWhether the business is investment-relatednoAddress of the other businessBoston, MassachusettsNature of the other businessAlumni councilYour positionCouncil member Title, or relationship with the other businessCouncil member Start date of your relationship09/01/2024Approximate number of hours/month you devote to the other business6Number of hours you devote to the other business during securities trading hours0Briefly describe your duties relating to the other businessI help advise the athletic department on athletic projects, programs, strategic plans and fundraising/giving.I*2441262, Entity Type, Name of OBA: Boston University - Young alumni athletic council member Address: BostonMassachusetts02215 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 09/06/2024 No Hours: 6 monthly No Hours during trading: 0 Duties:Help advice the athletic department at Boston University in a variety of ways - athletic programs, projects, strategic plans and other issues of importance. Also help in fundraising for the athletic department. I am giving input and involved in discussions on projects, strategic plans including annual giving, and topics of importance regarding athletic initiatives that come up throughout the year. I*2799284 Entity Type: Charitable Name of OBA: Boston Jr. Eagles Boys youth U14 Elite hockey team Address:Wellesley Massachusetts Investment Related:No Position, Title, Association:Other Start Date:08/29/2025 No Hours: 80 Weekly No Hours during trading:0 Duties:Coaching and mentoring young hockey players through on ice practices and on the bench for games

Exams

• S66 Uniform Combined State Law Examination
  2025-02-20