James G Dwyer

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
CT	RA	APPROVED	2010-12-22
TX	RA	APPROVED_RES	2010-09-16

NY RA
APPROVED

Since 2021-04-19
CT RA
APPROVED

Since 2010-12-22
TX RA
APPROVED_RES

Since 2010-09-16

Branch Locations

New York, NY • United States

One Bryant Park Investment Solutions Group, New York, NY 10036 • 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, Inc.	New York	NY	06/2010	Present

06/2010 → Present

Merrill Lynch, Pierce, Fenner & Smith, Inc.

New York, NY

Other Businesses

I*420599 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SELF NON ENTITY INVESTMENT RELATED: N ADDRESS OF BUSINESS: BALLINASLOE COUNTY GALWAY 0 IRELAND NATURE OF BUSINESS: OTHER A FAMILY FARM OWNED OVER A 100 YEARS BY MY FAMILY POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 9/30/2013 NUMBER OF HOURS DEVOTED: 15 MONTHLY HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A FARM IN IRELAND THAT I INHERITED FROM MY DECEASED BROTHER. THERE IS A SMALL HERD OF BEEF CATTLE (76) WHICH IS MANAGER BY A PAID HERDSMAN.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-12-21
S65	Uniform Investment Adviser Law Examination	1997-06-23
S63	Uniform Securities Agent State Law Examination	1995-01-16

S66 Uniform Combined State Law Examination

2010-12-21
S65 Uniform Investment Adviser Law Examination

1997-06-23
S63 Uniform Securities Agent State Law Examination

1995-01-16

Other Names

James G Seamus
Seamus G Dwyer
James Gerard Dwyer

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