James P Orr

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-05-09
GA	RA	APPROVED	2004-04-08

TX RA
APPROVED_RES

Since 2012-05-09
GA RA
APPROVED

Since 2004-04-08

Branch Locations

Rome, GA • United States

401 Broad St, Rome, GA 30161 • 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

Organization	City	State	From	To
Merrill Lynch Pierce Fenner & Smith	Rome	GA	09/1999	Present
Bank Of America, N.A.	Rome	GA	07/2011	Present

09/1999 → Present

Merrill Lynch Pierce Fenner & Smith

Rome, GA
07/2011 → Present

Bank Of America, N.A.

Rome, GA

Other Businesses

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-01-23
S63	Uniform Securities Agent State Law Examination	1994-09-29

S65 Uniform Investment Adviser Law Examination

1997-01-23
S63 Uniform Securities Agent State Law Examination

1994-09-29

Other Names

James Parkman Orr
Jim Orr

View on SEC IAPD