James Arthur Simpson

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

• 07/2019 → 01/2020
  Cuso Financial Services, Lp
  San Diego, CA
• 12/2008 → 07/2019
  Intouch Credit Union
  Plano, TX
• 01/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mckinney, TX
• 01/2020 → Present
  Bank Of America, N.A.
  Mckinney, TX

Previous Registrations

• 2009-03-13 → 2020-01-08
  Cuso Financial Services, L.P.
  Las Vegas, NV
  Herndon, VA
  San Diego, CA
  Plano, TX
  Mckinney, TX
  Henderson, NV
  North Las Vegas, NV
  Las Vegas, NV
• 2007-08-24 → 2008-12-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Flower Mound, TX
• 2007-01-05 → 2007-09-05
  Swbc Investment Company
  San Antonio, TX
• 2006-01-24 → 2006-12-31
  Cetera Wealth Services, Llc
  El Paso, TX
  Austin, TX
  Richardson, TX
  Lewisville, TX
  San Antonio, TX

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-03-14
• S63 Uniform Securities Agent State Law Examination
  1999-01-13

Other Names

• James A Simpson