James Paul Marten

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

• 08/1981 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Phoenix, AZ
• 12/2009 → Present
  Bank Of America, Na
  Phoenix, AZ

Other Businesses

I*40020 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MIKE UTLEY FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: PO BOX 349, ORONDO, WASHINGTON 98843 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 1/1/1995 NUMBER OF HOURS DEVOTED: 4 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GENERAL BOARD MEMBER INPUT

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-09-22
• S63 Uniform Securities Agent State Law Examination
  1981-11-16

Other Names

• Jim Martin
• James Martin