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James Royal

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Frisco, TX

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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 2008-11-21
  • TX RA
    APPROVED
    Since 2008-11-21

Branch Locations

1 Cowboys Way, Frisco, TX 75034 • 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 Plano TX 11/2008 Present
Bank Of America, Na Plano TX 11/2009 Present
Previous Registrations
  • 2007-04-02 → 2008-12-03
    Morgan Stanley & Co. Llc
    Dallas, TX
  • 1985-11-26 → 2007-04-02
    Morgan Stanley Dw Inc.
    Dallas, TX
    Dallas, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-04-18
S63 Uniform Securities Agent State Law Examination 1985-11-21
  • S65 Uniform Investment Adviser Law Examination
    2002-04-18
  • S63 Uniform Securities Agent State Law Examination
    1985-11-21
Other Names
  • Charles James Royal
  • C James Royal

View on SEC IAPD

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BSIP SLP GP, LLC · FRISCO, TX
MCCLURE CAPITAL ADVISORS, INC. · FRISCO, TX
MAVERICK TECH FUND MANAGER · FRISCO, TX
WAYMAKER PARTNERS, LLC · FRISCO, TX
RBC CAPITAL MARKETS, LLC · Frisco, TX
CG ADVISORY SERVICES · Frisco, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FRISCO, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FRISCO, TX

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