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James Bruce Stewart

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Glastonbury, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-12-14
CT RA APPROVED 2015-08-13
  • TX RA
    APPROVED_RES
    Since 2016-12-14
  • CT RA
    APPROVED
    Since 2015-08-13

Branch Locations

200 Glastonbury Blvd, Glastonbury, CT 06033 • 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 New Haven CT 07/2015 Present
Bank Of America, N.A. New Haven CT 11/2015 Present
Previous Registrations
  • 2014-12-11 → 2015-07-28
    Santander Securities Llc
    Simsbury, CT
    Wethersfield, CT
    Worcester, MA
    East Windsor, CT
  • 2008-01-01 → 2009-11-03
    Wells Fargo Clearing Services, Llc
    Glastonbury, CT
    Glastonbury, CT
  • 2000-01-19 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Glastonbury, CT
    Glastonbury, CT
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-05
S65 Uniform Investment Adviser Law Examination 1999-12-22
S63 Uniform Securities Agent State Law Examination 1983-10-07
  • S66 Uniform Combined State Law Examination
    2013-11-05
  • S65 Uniform Investment Adviser Law Examination
    1999-12-22
  • S63 Uniform Securities Agent State Law Examination
    1983-10-07

View on SEC IAPD

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