James Brady

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

• 11/1977 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 12/2009 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*31378 For profit or not for profit: Non-Profit Organization Name of outside business organization: JIM JACOBS FOUNDATION 205 OAK ST. NEPTUNE BEACH Investment related: N Address of business: NEPTUNE BEACH, Florida 32233 Nature of business: Charitable Organization, Position, title, association: Trustee, Start date of relationship: 12:00:00 AM Number of hours devoted: 3 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: GIVE MONEY TO THE POOR TRUSTEE NO

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-07-23
• S63 Uniform Securities Agent State Law Examination
  1984-01-24

Other Names

• James Allen Brady