James Michael Thiher

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

• 11/1978 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wayzata, MN
• 05/2011 → Present
  Bank Of America, N.A.
  Wayzata, MN

Other Businesses

I*108860 For profit or not for profit: Non-Profit Organization Name of outside business organization: Neighborhood House Investment related: N Address of business: St Paul, Minnesota 55107 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/4/2018 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Member of the Board of Directors

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-09-02
• S63 Uniform Securities Agent State Law Examination
  1979-12-28

Other Names

• James M Thiher