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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 1988-07-27
TX RA APPROVED_RES 1984-09-17
  • NM RA
    APPROVED
    Since 1988-07-27
  • TX RA
    APPROVED_RES
    Since 1984-09-17

Branch Locations

425 S Telshor Blvd, Las Cruces, NM 88011 • United States

2125 Louisiana Blvd, Albuquerque, NM 87110 • 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 Las Cruces NM 06/1984 Present
Bank Of America, Na Las Cruces NM 09/2009 Present
Other Businesses

I*117880 For profit or not for profit: For-Profit Organization Name of outside business organization: Fletcher Farm Properties, LLC Investment related: N Address of business: Three Rivers, Michigan 49093 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 9/20/2018 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: This is a LLC equally owned by my brother and myself. It will hold closely held stock of a family corporation and will borrow funds to buy out cousins who desire to liquidate their shares of Fletcher Farm, Inc. I*128386 For profit or not for profit: For-Profit Organization Name of outside business organization: Fletcher Farms, Inc. Investment related: Y Address of business: Portage, Michigan 49002 Nature of business: Corporation, Position, title, association: Officer, Start date of relationship: 1/6/2020 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: My brother and I are owners of an LLC that owns 50% of the shares of a family farm. The farm is located near Centreville, MI and has 225 acres under a cultivation in a rental contract, and a tenant house for C-corp income.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-09
S63 Uniform Securities Agent State Law Examination 1984-09-12
  • S65 Uniform Investment Adviser Law Examination
    1996-02-09
  • S63 Uniform Securities Agent State Law Examination
    1984-09-12
Other Names
  • James E Fletcher
  • Jamie Fletcher

View on SEC IAPD

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