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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 2022-10-04
WI RA APPROVED 2022-09-30
  • TX RA
    APPROVED
    Since 2022-10-04
  • WI RA
    APPROVED
    Since 2022-09-30

Branch Locations

3508 Oakwood Mall Dr, Eau Claire, WI 54701 • United States

One Bryant Park, 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Eau Claire, WI 05/2022 Present
Commodity Specialists Company Minneapolis MN 06/2009 05/2022
Bank Of America, N.A. Eau Claire WI 07/2022 Present
Other Businesses

Cognovi Holdings, LLC is a company, in Minneapolis, MN, primarily engaged in market making in futures and options markets and providing hedging solutions for production farming businesses. I am a silent partner, not employed by nor involved in any daily decision making duties. My ownership relationship began with the company in July of 2019. I do not devote any time to this business beyond attending semi annual shareholder meetings and periodically reviewing the financial performance of the company totaling less than one hour per month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-02
  • S66 Uniform Combined State Law Examination
    2022-09-02
Other Names
  • James Joseph Munger
  • James J Munger

View on SEC IAPD

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