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James Robert Moulton

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Clermont, FL

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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 2022-07-07
FL RA APPROVED 2022-06-29
  • TX RA
    APPROVED
    Since 2022-07-07
  • FL RA
    APPROVED
    Since 2022-06-29

Branch Locations

518 Us Highway 27, Clermont, FL 34714 • 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
J.P. Morgan Securities Llc Chicago IL 10/2012 04/2022
Jp Morgan Chase Bank Chicago IL 06/2014 04/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Celebration FL 05/2022 Present
Bank Of America, N.A. Celebration FL 07/2022 Present
Previous Registrations
  • 2015-12-07 → 2022-05-01
    J.P. Morgan Securities Llc
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Wilmette, IL
  • 2012-10-01 → 2015-11-23
    J.P. Morgan Securities Llc
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2010-04-07 → 2012-10-01
    Chase Investment Services Corp.
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2009-09-29 → 2010-04-09
    Harrisdirect Llc
    Arlington, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-28
S63 Uniform Securities Agent State Law Examination 2007-02-07
  • S66 Uniform Combined State Law Examination
    2009-09-28
  • S63 Uniform Securities Agent State Law Examination
    2007-02-07
Other Names
  • Moulton Robert James
  • James R Moulton

View on SEC IAPD

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Kalli Diane Le Jeune
JACK ALEXANDER KENNEDY
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Christopher Paul Boylan
SCOTT FREDERICK KEIBER

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · CLERMONT, FL
EDWARD JONES · Clermont, FL
JB MERIDIAN ADVISORS, LLC · CLERMONT, FL
EDWARD JONES · CLERMONT, FL
LEVEL FOUR ADVISORY SERVICES · CLERMONT, FL
STATE FARM INVESTMENT MANAGEMENT CORP. · Clermont, FL
J.P. MORGAN SECURITIES LLC · CLERMONT, FL
TRUIST ADVISORY SERVICES, INC. · CLERMONT, FL

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