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James M Sleight

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hartford, CT

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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_RES 2020-05-22
CT RA APPROVED 2006-03-26
  • TX RA
    APPROVED_RES
    Since 2020-05-22
  • CT RA
    APPROVED
    Since 2006-03-26

Branch Locations

185 Asylum St City Place Ii, 14Th Fl, Hartford, CT 06103 • 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 Hartford CT 03/2008 Present
Bank Of America,N.A. Hartford CT 06/2011 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-30
S63 Uniform Securities Agent State Law Examination 1990-04-06
  • S65 Uniform Investment Adviser Law Examination
    2002-07-30
  • S63 Uniform Securities Agent State Law Examination
    1990-04-06
Other Names
  • James Michael Sleight

View on SEC IAPD

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