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James Edward Bradford

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Augusta, 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 2014-01-27
FL RA APPROVED 2009-10-23
GA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2014-01-27
  • FL RA
    APPROVED
    Since 2009-10-23
  • GA RA
    APPROVED
    Since 2009-10-23

Branch Locations

933 Broad St, Augusta, GA 30901 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Augusta GA 10/2009 Present
Bank Of America, N.A. Augusta GA 03/2010 Present
Previous Registrations
  • 2007-01-02 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Jacksonville, FL
    Augusta, GA
    Augusta, GA
  • 2005-05-24 → 2006-05-08
    Wells Fargo Clearing Services, Llc
    Atlanta, GA
    Augusta, GA
  • 2003-12-19 → 2004-08-10
    Charles Schwab & Co., Inc.
    GA
  • 2003-08-04 → 2003-11-05
    J.J.B. Hilliard, W.L. Lyons, Llc
    Lexington, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-27
S63 Uniform Securities Agent State Law Examination 1995-07-27
  • S65 Uniform Investment Adviser Law Examination
    2006-12-27
  • S63 Uniform Securities Agent State Law Examination
    1995-07-27
Other Names
  • James E Bradford

View on SEC IAPD

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RBC CAPITAL MARKETS, LLC
CHOREO, LLC
WYNN CAPITAL
MORGAN STANLEY

Other Investors

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James Philip Helton
DAVID THOMAS CURLEY
Justin Thomas Preissler
James Baker McGee
JAMES FLEMING NORVELL
JOHN WALTER PHELAN
JAMES WERNER LEIBACH

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · AUGUSTA, GA
SYNOVUS SECURITIES, INC. · AUGUSTA, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Augusta, GA
ANDREWS INVESTMENT MANAGEMENT · AUGUSTA, GA
RBC CAPITAL MARKETS, LLC · Augusta, GA
CHOREO, LLC · AUGUSTA, GA
WYNN CAPITAL · AUGUSTA, GA
MORGAN STANLEY · Augusta, GA

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