James Finnegan

$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:

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-07-07
NY	RA	APPROVED	2025-06-30

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Middletown	NY	04/2025	Present
West Hills Country Club	Middletown	NY	01/2012	04/2025
Mfpjjrt Enterpises - Parent Co. Of West Hills Country Club	New Windsor	NY	01/2020	12/2020
Bank Of America, N.A.	Middletown	NY	06/2025	Present

04/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Middletown, NY
01/2012 → 04/2025

West Hills Country Club

Middletown, NY
01/2020 → 12/2020

Mfpjjrt Enterpises - Parent Co. Of West Hills Country Club

New Windsor, NY
06/2025 → Present

Bank Of America, N.A.

Middletown, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-06-30

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