James Lawrence Oberheide

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

• 06/2009 → 09/2024
  Morgan Stanley
  Chicago, IL
• 01/2015 → 09/2024
  Morgan Stanley Private Bank, National Association
  New York, NY
• 08/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 10/2024 → Present
  Bank Of America, N.A.
  Chicago, IL

Previous Registrations

• 2009-06-01 → 2024-09-26
  Morgan Stanley
  Chicago, IL
  Chicago, IL
  Chicago, IL
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Chicago, IL
• 2007-02-16 → 2007-04-02
  Morgan Stanley Dw Inc.
  Chicago, IL
• 1997-07-08 → 2007-02-23
  Alliancebernstein L.P.
  Chicago, IL

Other Businesses

"I*22357194, Entity Type Fiduciary, Name of OBA: J L O DECLARATION OF TRUST Address: Chicago, Illinois, 60654 Investment Related: Yes Position, Title, Association: Trustee Employee Start Date: 31-Oct-2024 No Hours: 1 Monthly No Hours during trading: 1 Monthly Duties:

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-12-07
• S63 Uniform Securities Agent State Law Examination
  1993-12-01