James Aubrey Sapp

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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Dothan, AL
• 11/2016 → 11/2020
  Wells Fargo Clearing Services, Llc
  Dothan, AL
• 11/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dothan, AL
• 03/2021 → Present
  Bank Of America, N.A.
  Dothan, AL

Previous Registrations

• 2008-12-08 → 2020-12-08
  Wells Fargo Clearing Services, Llc
  Chipley, FL
  Birmingham, AL
  Birmingham, AL
  Dothan, AL
  Dothan, AL
  Birmingham, AL
  Dothan, AL
  Midland City, AL
  Dothan, AL
  Ozark, AL
  Midland City, AL
  Headland, AL
  Elba, AL
  Daleville, AL
  Enterprise, AL
  Daleville, AL
  Elba, AL
  Headland, AL
  Dothan, AL
  Ozark, AL
  Dothan, AL
  Birmingham, AL
  Marianna, FL
  Enterprise, AL
  Dothan, AL
  Muscle Shoals, AL
  Ozark, AL
  Dothan, AL
  Dothan, AL
  Dothan, AL
  Ozark, AL
• 1994-06-14 → 2008-12-11
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dothan, AL
  Dothan, AL

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-05-12
• S63 Uniform Securities Agent State Law Examination
  1994-05-10

Other Names

• James A Sapp
• Jim Sapp
• James Aubrey Sapp
• James Aubrey Sapp