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James Andrew Mckay

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wellesley Hills, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2014-10-29
TX RA APPROVED 2007-09-21
  • NH RA
    APPROVED
    Since 2014-10-29
  • TX RA
    APPROVED
    Since 2007-09-21

Branch Locations

45 William St, Wellesley Hills, MA 02481 • 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, Pierce, Fenner & Smith Incorporated Wellesley Hills MA 09/2007 Present
Bank Of America, N.A. Wellesley Hills MA 06/2011 Present
Previous Registrations
  • 2004-02-26 → 2007-09-26
    A. G. Edwards & Sons, Inc.
    Wellesley, MA
    Newton Lower Falls, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-22
S63 Uniform Securities Agent State Law Examination 1984-04-16
  • S66 Uniform Combined State Law Examination
    2005-11-22
  • S63 Uniform Securities Agent State Law Examination
    1984-04-16
Designations
Other Names
  • Jim Mckay

View on SEC IAPD

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