James P Ruskin

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED	2012-11-09
CT	RA	APPROVED	2011-06-23

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED

Since 2012-11-09
CT RA
APPROVED

Since 2011-06-23

Branch Locations

2 Pickwick Plz, Greenwich, CT 06830 • United States

Armonk, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Greenwich	CT	05/2011	Present
Bank Of America, N.A.	Greenwich	CT	06/2015	Present

05/2011 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT
06/2015 → Present

Bank Of America, N.A.

Greenwich, CT

Other Businesses

I*: 2986268 Entity Type: Fiduciary role Name of OBA: The Ruskin Family Trust Address: Topanga, CA 90290 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 10/15/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Successor Trustee / Siblings

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-06-21
S63	Uniform Securities Agent State Law Examination	2008-02-14

S65 Uniform Investment Adviser Law Examination

2011-06-21
S63 Uniform Securities Agent State Law Examination

2008-02-14

Other Names

James Philip Ruskin

View on SEC IAPD