James Francis Clarke

Current Employers

Employment History

• 05/2014 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 07/2014 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2009-01-21 → 2014-06-05
  Barclays Capital Inc.
  New York, NY
• 2008-03-28 → 2008-10-15
  Lehman Brothers Inc.
  New York, NY
  New York, NY
  New York, NY

Other Businesses

I*130943 For profit or not for profit: Non-Profit Organization Name of outside business organization: Investments & Wealth Institute Investment related: Y Address of business: Greenwood Village, Colorado 80111 Nature of business: Charitable Organization, Position, title, association: Consultant, Start date of relationship: 5/1/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Volunteer to be a member of the expert faculty network to assist with projects related to building or assessing content or when questions arise from members about the content. I*2218261, Entity Type: , Name of OBA: J F C TTEE A M Q TTEE U/A DTD 07/09/1987 , Address: Darien, Connecticut, 06820, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 26-Feb-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2239307, Entity Type: , Name of OBA: C C Trust DTD 1/24/2025, Address: Darien, Connecticut, 06820, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 17-Mar-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2239308, Entity Type: , Name of OBA: K C Trust DTD 1/24/2025, Address: Darien, Connecticut, 06820, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 17-Mar-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2240283, Entity Type: , Name of OBA: J' Trust DTD 1/24/2025, Address: Darien, Connecticut, 06820, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 17-Mar-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2241258, Entity Type: , Name of OBA: MLPF& S CUST FBO SP C DECD IRA FBO K C TRUST , Address: Darien, Connecticut, 06820, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 17-Mar-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2249262, Entity Type: , Name of OBA: S P C DECD IRA FBO C C TRUST TR , Address: Darien, Connecticut, 06820, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 19-Mar-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2008-03-27
• S63 Uniform Securities Agent State Law Examination
  1995-07-27

Other Names

• James Francis Clarke