James Bernard Fahey

CRD 1618206 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Bedminster, NJ

IA RegisteredBroker

Also appears in the source record as: Jim Fahey

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (12): Delaware · Florida · Georgia · Idaho · Maryland · Massachusetts · New Jersey · New York · Pennsylvania · South Carolina · Texas · Virginia
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1618206 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Bedminster, NJ · IA capacity

Jun 18, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Bedminster, NJ · BC capacity

start not retrieved → present
Ameriprise Financial Services, LLC
BD capacity

Mar 16, 2012 → Jun 25, 2025
Ameriprise Financial Services, LLC
IA capacity

Mar 16, 2012 → Jun 25, 2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 23, 2009 → Mar 21, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 23, 2009 → Mar 21, 2012
Banc Of America Investment Services, Inc.
BD capacity

Mar 30, 2007 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Mar 30, 2007 → Oct 23, 2009
Edward Jones
IA capacity

Jan 26, 2007 → Apr 5, 2007
Edward Jones
BD capacity

Oct 12, 1999 → Apr 5, 2007
Cardinal Investments, Inc.
BD capacity

Dec 21, 1998 → Jun 25, 1999
American General Securities Incorporated
BD capacity

Oct 1, 1997 → Nov 17, 1998
Uslife Equity Sales Corp.
BD capacity

Aug 1, 1995 → Oct 1, 1997
Pml Securities Company
BD capacity

Feb 10, 1994 → Jul 18, 1995
Mutual Of Omaha Investor Services, Inc.
BD capacity

Jan 29, 1987 → Feb 18, 1994

Source & corrections

Where this page comes from

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