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James Timothy Gattis

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Murfreesboro, TN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-10-22
TN RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2010-10-22
  • TN RA
    APPROVED
    Since 2009-10-23

Branch Locations

120 E Main St, Murfreesboro, TN 37130 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sparta TN 10/2009 Present
Bank Of America, N.A. Murfreesboro TN 05/2012 Present
Previous Registrations
  • 1998-01-01 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Murfreesboro, TN
    Sparta, TN
    Smyrna, TN
    Lawrenceburg, TN
    Murfreesboro, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-08
S63 Uniform Securities Agent State Law Examination 1993-09-20
  • S65 Uniform Investment Adviser Law Examination
    1995-11-08
  • S63 Uniform Securities Agent State Law Examination
    1993-09-20
Other Names
  • Tim Gattis

View on SEC IAPD

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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Murfreesboro, TN
EDWARD JONES · MURFREESBORO, TN
HULL WEALTH MANAGEMENT · MURFREESBORO, TN
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · MURFREESBORO, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Murfreesboro, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Murfreesboro, TN
TRUIST ADVISORY SERVICES, INC. · MURFREESBORO, TN
AMERIPRISE FINANCIAL SERVICES, LLC · MURFREESBORO, TN

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