Jeffrey A James

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

• 12/1994 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Santa Rosa, CA
• 07/2011 → Present
  Bank Of America, N.A.
  Santa Rosa, CA

Other Businesses

FOR PROFIT OR NOT FOR PROFIT: GOVERNMENTAL OR PUBLIC PURPOSE ENTITYNAME OF OUTSIDE BUSINESS ORGANIZATION: SONOMA-MARIN FAIR BOARDINVESTMENT RELATED: NOADDRESS OF BUSINESS:PETALUMA, CALIFORNIA 94952NATURE OF BUSINESS: OTHERPOSITION, TITLE, ASSOCIATION: VICE PRESIDENTSTART DATE OF RELATIONSHIP: 04/01/2004NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLYDUTIES: FINANCIAL OVERSIGHT.I*92018FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: FARM BUREAU FOUNDATION OF SONOMA COUNTYINVESTMENT RELATED: NADDRESS OF BUSINESS:SANTA ROSA, CALIFORNIA 95403NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 7/20/2015NUMBER OF HOURS DEVOTED: 3 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THE FARM BUREAU FOUNDATION OF SONOMA COUNTY RAISES AND DISTRIBUTES FUNDS IN SUPPORT OF THE EDUCATION OF LOCAL STUDENTS, SPECIFICALLY AS IT PERTAINS TO AGRICULTUREI*453023Entity for ProfitName of OBA: STONY POINT VINEYARDS-OWNERAddress: Cotati, California, 94931Investment Related: NoPosition, Title, Association: OtherEmployee Start Date: 01/01/1998No Hours: 10No Hours during trading: 0Duties: As the owner I am responsible for all activities within the business such as dealing with vendors, grape purchasers, and bill payment.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-03-07
• S63 Uniform Securities Agent State Law Examination
  1994-03-08

Other Names

• Jeff James
• Jeffrey Allen James