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James C Aldag

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tulsa, OK

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2003-03-11
TX RA APPROVED 2003-03-07
  • OK RA
    APPROVED
    Since 2003-03-11
  • TX RA
    APPROVED
    Since 2003-03-07

Branch Locations

6100 S Yale Ave, Tulsa, OK 74136 • 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 Inc Tulsa OK 03/2003 Present
Bank Of America, N.A. Tulsa OK 06/2011 Present
  • 03/2003 → Present
    Merrill Lynch Pierce Fenner & Smith Inc
    Tulsa, OK
  • 06/2011 → Present
    Bank Of America, N.A.
    Tulsa, OK
Previous Registrations
  • 1992-08-04 → 2003-03-12
    Prudential Equity Group, Llc
    Tulsa, OK
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-05-28
S63 Uniform Securities Agent State Law Examination 1987-08-03
  • S65 Uniform Investment Adviser Law Examination
    1992-05-28
  • S63 Uniform Securities Agent State Law Examination
    1987-08-03
Other Names
  • Jim Aldag
  • James Charles Aldag

View on SEC IAPD

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JOEL BERNARD KANTOR
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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Tulsa, OK
OAK CREEK PRIVATE WEALTH MANAGEMENT LLC · TULSA, OK
PINNACLE INVESTMENT ADVISORS · TULSA, OK
NATIVE AMERICAN FUND ADVISORS LLC · TULSA, OK
AMERITAS ADVISORY SERVICES, LLC · TULSA, OK
ARVEST WEALTH MANAGEMENT · Tulsa, OK
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C. · TULSA, OK
KQ WEALTH MANAGEMENT LLC · TULSA, OK

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