James Robert Radler

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-08-22
IL	RA	APPROVED	1998-04-12
TX	RA	APPROVED_RES	1994-05-27

FL RA
APPROVED

Since 2025-08-22
IL RA
APPROVED

Since 1998-04-12
TX RA
APPROVED_RES

Since 1994-05-27

Branch Locations

Palm Beach Gardens, FL • United States

249 Royal Palm Way, Palm Beach, FL 33480 • United States

110 N Wacker Dr, Chicago, IL 60606 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	04/1992	Present
Bank Of America,Na	Chicago	IL	12/2009	Present

04/1992 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
12/2009 → Present

Bank Of America,Na

Chicago, IL

Other Businesses

I*490001 Entity Type: Fiduciary role Name of OBA: J. S. W. Trust FBO J. R. Address: Boston, Massachusetts, 2110 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 03/02/2018 Number of Hours: 5, Monthly Number of Hours during trading: 5, Monthly Duties: Co-Trustee/Siblings I*492856 Entity Type: Fiduciary role Name of OBA: J. R. Address: Winnetka, Illinois, 60093 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 11/19/2019 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Co-Trustee/Siblings

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-11-15
S63	Uniform Securities Agent State Law Examination	1992-06-18

S65 Uniform Investment Adviser Law Examination

1995-11-15
S63 Uniform Securities Agent State Law Examination

1992-06-18

View on SEC IAPD