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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2019-04-24
TX RA APPROVED 2019-04-24
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2019-04-24
  • TX RA
    APPROVED
    Since 2019-04-24

Branch Locations

6965 Yellowstone Blvd, Forest Hills, NY 11375 • 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
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Bayside NY 10/2012 08/2017
Jp Morgan Chase Bank Bayside NY 02/2016 08/2017
Jp Morgan Chase Bank Bayside NY 01/2018 04/2019
Jp Morgan Securities Llc Bayside NY 08/2017 04/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bayside NY 04/2019 Present
Bank Of America, N.A. Bayside NY 05/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-24
S63 Uniform Securities Agent State Law Examination 2010-09-27
  • S66 Uniform Combined State Law Examination
    2016-02-24
  • S63 Uniform Securities Agent State Law Examination
    2010-09-27
Other Names
  • James Anthony Gargiulo
  • James Gargiulo

View on SEC IAPD

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