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James S Morner

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seal Beach, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2008-01-02
CA RA APPROVED 2007-11-26
  • TX RA
    APPROVED
    Since 2008-01-02
  • CA RA
    APPROVED
    Since 2007-11-26

Branch Locations

3010 Old Ranch Pkwy, Seal Beach, CA 90740 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seal Beach CA 09/2007 Present
Bank Of America, Na Seal Beach CA 08/2009 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-06
  • S66 Uniform Combined State Law Examination
    2007-03-06
Other Names
  • James Stanley Morner

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Seal Beach, CA
J.P. MORGAN SECURITIES LLC · SEAL BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SEAL BEACH, CA
UBS FINANCIAL SERVICES INC. · SEAL BEACH, CA
LPL FINANCIAL LLC · SEAL BEACH, CA
OSAIC WEALTH, INC. · SEAL BEACH, CA
AMIP MANAGEMENT · SEAL BEACH, CA
MY PORTFOLIO GUIDE, LLC · SEAL BEACH, CA

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