James Matthew Varga

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

• 01/1991 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Orland Park, IL
• 07/2011 → Present
  Bank Of America, N.A.
  Chicago, IL

Other Businesses

I*130759 For profit or not for profit: For-Profit Organization Name of outside business organization: LLC Investment related: N Address of business: Chicago, Illinois 60612 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 6/4/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I am an owner of a two flat rental property in Chicago I*1475266, Name of OBA:SULLEY LLC, Address: Chicago, Illinois, Investment Related: no, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 11/16/2021,No Hours: 0,No Hours during trading:0 Duties: Under advisement from our estate planning attorney we are migrating our already approved OBA and rental property into an LLC holding. SULLEY LLC.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-02-15
• S63 Uniform Securities Agent State Law Examination
  1991-04-25

Other Names

• Jim Varga