James M Below

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

• 02/1989 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Santa Rosa, CA
• 07/2011 → Present
  Bank Of America, N.A.
  Santa Rosa, CA

Other Businesses

I*1253255 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Franklin, Tennessee, 37064 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 7/20/2019 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-05-13
• S63 Uniform Securities Agent State Law Examination
  1986-01-21

Other Names

• James Maurice Below