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James D'ALessio

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Diego, CA

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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 2020-01-15
CA RA APPROVED 2010-12-08
  • TX RA
    APPROVED_RES
    Since 2020-01-15
  • CA RA
    APPROVED
    Since 2010-12-08

Branch Locations

701 B St, San Diego, CA 92101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Diego CA 10/2010 Present
Bank Of America,N.A. San Diego CA 06/2011 Present
Previous Registrations
  • 2008-07-15 → 2010-10-18
    Zions Capital Advisors, Inc.
    San Diego, CA
  • 2008-03-20 → 2008-06-02
    Cetera Wealth Services, Llc
    San Diego, CA
  • 2003-02-24 → 2008-03-05
    Banc Of America Investment Services, Inc.
    San Diego, CA
    Rancho Santa Fe, CA
    San Diego, CA
    Rancho Santa Fe, CA
  • 2001-12-06 → 2003-02-24
    Cuso Financial Services, L.P.
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-11-14
S63 Uniform Securities Agent State Law Examination 1995-07-03
  • S65 Uniform Investment Adviser Law Examination
    2001-11-14
  • S63 Uniform Securities Agent State Law Examination
    1995-07-03
Other Names
  • James John Dalessio
  • Jim Dalessio
  • James J Dalessio
  • James D'ALessio
  • James John Dalessio
  • James John D'ALessio
  • James Dalessio
  • James D'ALessio

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
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CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
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