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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 2023-05-12
CA RA APPROVED 2023-02-07
  • TX RA
    APPROVED
    Since 2023-05-12
  • CA RA
    APPROVED
    Since 2023-02-07

Branch Locations

90 South E St, Santa Rosa, CA 95404 • 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 Oakland CA 10/2022 Present
University Corporation San Francisco CA 09/2015 10/2022
Blue C Sushi San Francisco CA 01/2016 01/2017
San Francisco State University San Francisco CA 08/2014 05/2018
Bank Of America, N.A. Oakland CA 01/2023 Present
  • 10/2022 → Present
    Oakland, CA
  • 09/2015 → 10/2022
    University Corporation
    San Francisco, CA
  • 01/2016 → 01/2017
    Blue C Sushi
    San Francisco, CA
  • 08/2014 → 05/2018
    San Francisco State University
    San Francisco, CA
  • 01/2023 → Present
    Bank Of America, N.A.
    Oakland, CA
Other Businesses

I*3849292 Entity Type: Entity Charitable Name of OBA: Sonoma County Pride Bowling Address: Santa Rosa, California, 95403 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 03/09/2026 Number of Hours: 4, Monthly Number of Hours during trading: 0, Monthly Duties: Clubs and Organizations - a Sonoma County Bowling League Secretary - meeting administration, recordkeeping & document management, board support & coordination

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-06
  • S66 Uniform Combined State Law Examination
    2023-02-06
Other Names
  • Matt Allen James

View on SEC IAPD

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