James D Shulman

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-02-16
FL	RA	APPROVED	2010-10-15

TX RA
APPROVED_RES

Since 2011-02-16
FL RA
APPROVED

Since 2010-10-15

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • 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

Organization	City	State	From	To
Merrill Lynch	Boca Raton	FL	08/2010	Present
Bank Of America,N.A.	Boca Raton	FL	06/2011	Present

08/2010 → Present

Merrill Lynch

Boca Raton, FL
06/2011 → Present

Bank Of America,N.A.

Boca Raton, FL

Previous Registrations

2006-04-05 → 2007-03-08

Wells Fargo Clearing Services, Llc

Boca Raton, FL

Boca Raton, FL

Other Businesses

I*85702 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FLORIDA REAL ESTATE LICENSE INVESTMENT RELATED: N ADDRESS OF BUSINESS: BOCA RATON, FLORIDA 33432 NATURE OF BUSINESS: OTHER,NOT APPLICABLE POSITION, TITLE, ASSOCIATION: OTHER, NOT APPLICABLE START DATE OF RELATIONSHIP: 9/28/2015 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I ATTAINED MY FLORIDA REAL ESTATE SALES ASSOCIATE LICENSE FOR THE SOLE PURPOSE OF EDUCATING MYSELF.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-10-13
S63	Uniform Securities Agent State Law Examination	1987-05-21

S65 Uniform Investment Adviser Law Examination

2010-10-13
S63 Uniform Securities Agent State Law Examination

1987-05-21

Other Names

Jim Shulman
James David Shulman

View on SEC IAPD