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James W Peller

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Merrillville, IN

Valparaiso, IN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2009-05-08
TX RA APPROVED 2009-05-08
  • IN RA
    APPROVED
    Since 2009-05-08
  • TX RA
    APPROVED
    Since 2009-05-08

Branch Locations

707 E 80Th Pl, Merrillville, IN 46410 • United States

Valparaiso, IN • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrillville IN 05/2009 Present
Bank Of America, N.A. Merrillville IN 07/2011 Present
Previous Registrations
  • 2008-10-01 → 2009-05-14
    J.P. Morgan Securities Llc
    Merrillville, IN
  • 2006-09-27 → 2008-10-01
    J.P. Morgan Securities Inc.
    Merrillville, IN
  • 1999-03-12 → 2006-09-27
    Banc One Securities Corporation
    Merrillville, IN
    Merrillville, IN
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-26
S63 Uniform Securities Agent State Law Examination 1985-02-06
  • S65 Uniform Investment Adviser Law Examination
    1996-02-26
  • S63 Uniform Securities Agent State Law Examination
    1985-02-06
Designations
Other Names
  • Jim Peller
  • James Wagoner Peller

View on SEC IAPD

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Other Investors

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ALEXANDER A KOLEFF
JOHN J BRECKENRIDGE
Scott T Ribordy
DIANA K NYMAN
PAUL ALLAN SHOOK
Jeff Johnson
MICHELLE L RACHFORD

Other Offices

GLOBAL ASSETS ADVISORY, LLC · MERRILLVILLE, IN
GEHRIG CAPITAL MANAGEMENT, INC. · MERRILLVILLE, IN
VALIC FINANCIAL ADVISORS, INC. · MERRILLVILLE, IN
COMMONWEALTH FINANCIAL NETWORK · Merrillville, IN
OSAIC WEALTH, INC. · MERRILLVILLE, IN
KOVACK ADVISORS, INC. · Merrillville, IN
CETERA INVESTMENT ADVISERS LLC · MERRILLVILLE, IN
CETERA INVESTMENT ADVISERS LLC · MERRILLVILLE, IN

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