James Francis Armstrong

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

• 11/2013 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Northbrook, IL
• 01/2014 → Present
  Bank Of America, N.A.
  Northbrook, IL

Previous Registrations

• 2006-07-20 → 2013-11-18
  Ubs Financial Services Inc.
  Northbrook, IL

Other Businesses

I*3094277 Entity Type: Name of OBA: SEA and JFA TRUST Address: Illinois, 60045 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 10/31/2025 Number of Hours: 10, Monthly Number of Hours during trading: 1, Monthly Duties:

Exams

• S66 Uniform Combined State Law Examination
  2006-07-19
• S63 Uniform Securities Agent State Law Examination
  1991-10-10

Other Names

• Jim Armstrong
• (Jr) James Francis Armstrong