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James P Orr

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rome, GA

Rome, GA

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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 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
OrganizationCityStateFromTo
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

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Exams
CodeExamDate
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

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