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James Paul Cole

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Short Hills, NJ

Los Angeles, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-06-27
TX RA APPROVED_RES 2012-07-12
NJ RA APPROVED 2005-09-30
  • CA RA
    APPROVED
    Since 2024-06-27
  • TX RA
    APPROVED_RES
    Since 2012-07-12
  • NJ RA
    APPROVED
    Since 2005-09-30

Branch Locations

51 John F Kennedy Pkwy, Short Hills, NJ 07078 • United States

10982 Roebling Ave Apt 317, Los Angeles, CA 90024 • 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 Short Hills NJ 09/2005 Present
Bank Of America, Na Short Hills NJ 05/2010 Present
Previous Registrations
  • 2002-06-19 → 2005-10-04
    Morgan Stanley Dw Inc.
    Short Hills, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-16
S63 Uniform Securities Agent State Law Examination 1996-02-12
  • S65 Uniform Investment Adviser Law Examination
    1999-06-16
  • S63 Uniform Securities Agent State Law Examination
    1996-02-12
Other Names
  • James Cole

View on SEC IAPD

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Other Offices

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J.P. MORGAN SECURITIES LLC · SHORT HILLS, NJ
DORCHESTER ADVISORS LLC · SHORT HILLS, NJ
ESTEE ADVISORS LLC · SHORT HILLS, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SHORT HILLS, NJ
UNITED SUCCESS WEALTH MANAGEMENT · SHORT HILLS, NJ
TRANSAMERICA FINANCIAL ADVISORS, LLC · SHORT HILLS, NJ

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