James A Calbi

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

• 11/2001 → Present
  Merrill Lynch, Pierce, Fenner & Smith, Inc.
  Providence , RI
• 07/2011 → Present
  Bank Of America, N.A.
  Providence, RI

Other Businesses

I*117538For profit or not for profit: Non-Profit OrganizationName of outside business organization: C and D R FoundationInvestment related: NAddress of business:Short Hills, New Jersey 07078Nature of business: Charitable Organization,Position, title, association: Director, Start date of relationship: 10/25/2018Number of hours devoted: 20 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: The C and D R Foundation is a not for profit that directs it's resources to spinal cord injury cures and helping those afflicted by paralysis. I have been asked to be a general board member to provide guidance and input. I*1326248For profit or not for profit: Entity CharitableName of outside business organization: The C and D R FoundationInvestment related: NAddress of business: OBA, OBA, OBANature of business: ["Charitable Organization"]Position, title, association: ["Board Member","Director"], Start date of relationship: 7/1/2023Number of hours devoted: 5 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , The C and D R Foundation has a twofold objective. First, it provides care and support for those inflicted by paralysis. Next, it supports research efforts designed to cure paralysis and or other issues related to paralysis. I am updating this in advance of my nomination to board of directors chair. I am currently on the board and finance committee. This was previously approved. My role will be to lead the board and be a liaison between the board of directors and the leadership of the organization

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-05-19
• S63 Uniform Securities Agent State Law Examination
  1990-01-31