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James F O'SUllivan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2001-08-14
DC RA APPROVED 2001-06-01
MD RA APPROVED 2001-05-31
TX RA APPROVED_RES 2001-05-02
  • VA RA
    APPROVED
    Since 2001-08-14
  • DC RA
    APPROVED
    Since 2001-06-01
  • MD RA
    APPROVED
    Since 2001-05-31
  • TX RA
    APPROVED_RES
    Since 2001-05-02

Branch Locations

1800 K St Nw, Washington, DC 20006 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Washington DC 04/2001 Present
Bank Of America, Na Washington DC 01/2010 Present
  • 04/2001 → Present
    Merrill Lynch
    Washington, DC
  • 01/2010 → Present
    Bank Of America, Na
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-06
S63 Uniform Securities Agent State Law Examination 1981-08-04
  • S65 Uniform Investment Adviser Law Examination
    1993-12-06
  • S63 Uniform Securities Agent State Law Examination
    1981-08-04
Other Names
  • James Francis Osullivan

View on SEC IAPD

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