James Franklin Lassiter

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1971 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Raleigh, NC
• 12/2009 → Present
  Bank Of America, Na
  Raleigh, NC

Other Businesses

I*34382 For profit or not for profit: For-Profit Organization Name of outside business organization: AUSSIE ISLAND SURF SHOP Investment related: N Address of business: Wilmington, North Carolina 28405 Nature of business: S-Corp, Position, title, association: Consultant, Start date of relationship: 1/1/1990 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Retail surf shop LASSITER/HOLLONS FARMS, RALEIGH, NC, START 1/1992, SILENT PARTNER/CO-OWNER, 0 HOURS PER MONTH. NOT INVESTMENT RELATED I*75653 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: J & A LASSITER LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: WILMINGTON, NORTH CAROLINA 28405 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 5/3/1999 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COMMERCIAL REAL ESTATE LEASED TO SUBCHAPTER S CORP. I*34383 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LASSITER/HOLLOMAN FARMS INVESTMENT RELATED: N ADDRESS OF BUSINESS: HARRELLSVILLE, NORTH CAROLINA 27942 NATURE OF BUSINESS: OTHER,PARTNERS POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1988 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: AGRICULTURE. GROWING PEANUTS, CORN, AND SOY. I*67843 For profit or not for profit: For-Profit Organization Name of outside business organization: a & j lassiter inc Investment related: N Address of business: wilmington, North Carolina 28405 Nature of business: S-Corp, Position, title, association: Consultant, Start date of relationship: 4/1/1991 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: consultant to my son.

Exams

• S66 Uniform Combined State Law Examination
  2001-08-24
• S63 Uniform Securities Agent State Law Examination
  1981-10-22