James Byron Smith

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	2013-02-26
IN	RA	APPROVED	2012-12-14
IL	RA	APPROVED	2012-04-26
NM	RA	APPROVED	2008-08-12

TX RA
APPROVED_RES

Since 2013-02-26
IN RA
APPROVED

Since 2012-12-14
IL RA
APPROVED

Since 2012-04-26
NM RA
APPROVED

Since 2008-08-12

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • United States

Hinsdale, IL • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Baton Rouge	LA	08/1997	Present

08/1997 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baton Rouge, LA

Other Businesses

I*4750277, Entity Type: , Name of OBA: J B S TTEE U/A DTD 03/07/2024 BY J B S, Address: Hinsdale, Illinois, 60521, Investment Related: N, Position, Title, Association: GRANTR//TTEE, Employee Start Date: 06/23/2026, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-11-21
S63	Uniform Securities Agent State Law Examination	1995-09-01

S65 Uniform Investment Adviser Law Examination

1997-11-21
S63 Uniform Securities Agent State Law Examination

1995-09-01

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews