James Carl Happ

Current Employers

Employment History

• 07/1994 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Toledo, OH
• 12/2009 → Present
  Bank Of America,Na
  Perrysburg, OH

Other Businesses

I*1090253For profit or not for profit: Name of outside business organization: St. John's Jesuit High School Foundation Board, Investment related: N, Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , I have been elected to join the St. John's Jesuit High School and Academy Foundation Board, helping to oversee the foundation assets for the school I*2213270, Entity Type: , Name of OBA: C H IRA, Address: Maumee, Ohio, 43537, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 21-Feb-2025, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties: I*1090252, Entity Type: , Name of OBA: Stone Oak Country Club Board of Trustees, Address: Holland, Ohio, 43528, Investment Related: N, Position, Title, Association: ["Officer"], Employee State Date: 01/01/2023, No Hours: 10 Monthly, No Hours during Trading: 5 Monthly, Duties: I was elected President with a term beginning on 1/1/2025. I am expected to lead the Board of Trustees and hold monthly meetings so as to supervise the operations and activities of the Club. I*3722271, Entity Type: , Name of OBA: POA for A H, Address: Maumee, Ohio, 43537, Investment Related: N, Position, Title, Association: POA, Employee Start Date: 02/06/2026, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties: POA, POA for my daughter I*5547288, Entity Type: , Name of OBA: MLPF& S CUST FPO S A H IRA FBO S A H, Address: Maumee, Ohio, 43537, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 08/24/2026, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties:

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-07
• S63 Uniform Securities Agent State Law Examination
  1995-07-07

Other Names

• James C Happ