James Gotti

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2006-02-08

TX RA
APPROVED_RES

Since 2006-02-08

Branch Locations

One Bryant Park Gbam - Global Ficc - Mbam - Public Municipal Mkts, New York, NY 10036 • United States

110 N Wacker Dr Gbam - Global Ficc - Mbam - Public Municipal Mkts, Chicago, IL 60606 • United States

Disclosures

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

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	09/1990	Present
Bofa Securities, Inc.	Chicago	IL	04/2019	Present

09/1990 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
04/2019 → Present

Bofa Securities, Inc.

Chicago, IL

Other Businesses

I*2305258, Entity Type: , Name of OBA: J C G TTEE U/A DTD 04/26/2004 BY J C G, Address: Oak Park, Illinois, 60302, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 21-Mar-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1991-05-23

S63 Uniform Securities Agent State Law Examination

1991-05-23

Other Names

James C Gotti

View on SEC IAPD