James Joseph Lauber

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2019-09-25
TX	RA	APPROVED	2019-09-21

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	08/2017	09/2019
Verizon	East Brunswick	NJ	08/2011	05/2017
Unemployeed	South River	NJ	05/2017	08/2017
Bank Of America, N.A.	Pennington	NJ	08/2017	09/2019
J.P. Morgan Securities Llc	Monmouth Junction	NJ	09/2019	Present
Jpmorgan Chase Bank, N.A.	Monmouth Junction	NJ	09/2019	Present

08/2017 → 09/2019

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
08/2011 → 05/2017

Verizon

East Brunswick, NJ
05/2017 → 08/2017

Unemployeed

South River, NJ
08/2017 → 09/2019

Bank Of America, N.A.

Pennington, NJ
09/2019 → Present

J.P. Morgan Securities Llc

Monmouth Junction, NJ
09/2019 → Present

Jpmorgan Chase Bank, N.A.

Monmouth Junction, NJ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-07-11
S63	Uniform Securities Agent State Law Examination	2018-01-19