James D'alessio

CRD 2505772 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Diego, CA

IA RegisteredBroker

Also appears in the source record as: James John D'alessio; James D'alessio; James J Dalessio; James John Dalessio; James Dalessio; Jim Dalessio

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (18): Arizona · California · Connecticut · Delaware · Florida · Hawaii · Kansas · Michigan · Nebraska · Nevada · New Mexico · New York · Ohio · Oregon · Tennessee · Texas · Virginia · Wisconsin
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Diego, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Diego, CA · BC capacity

start not retrieved → present
Contango Capital Advisors, Inc.
San Diego, CA · IA capacity

Jul 15, 2008 → Oct 18, 2010
Zions Direct, Inc.
Salt Lake City, UT · BC capacity

Jul 15, 2008 → Oct 18, 2010
Financial Network Investment Corporation
San Diego, CA · IA capacity

Mar 20, 2008 → Jun 2, 2008
Financial Network Investment Corporation
San Diego, CA · BC capacity

Mar 13, 2008 → Jun 2, 2008
Banc Of America Investment Services, Inc.
Rancho Santa Fe, CA · IA capacity

Feb 24, 2003 → Mar 5, 2008
Banc Of America Investment Services, Inc.
Rancho Santa Fe, CA · BC capacity

Feb 24, 2003 → Mar 5, 2008
Cuso Financial Services, L.P.
San Diego, CA · IA capacity

Dec 6, 2001 → Feb 24, 2003
Cuso Financial Services, L.P.
San Diego, CA · BC capacity

Mar 26, 2001 → Feb 24, 2003
Wells Fargo Securities Inc.
San Francisco, CA · BC capacity

Aug 18, 1999 → Mar 19, 2001
Select Capital Corporation
Sacramento, CA · BC capacity

May 21, 1997 → Jan 7, 1998
Scudder Investor Services, Inc.
New York, NY · BC capacity

Jun 15, 1995 → Mar 26, 1996

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2505772 ↗ FINRA BrokerCheck record for CRD 2505772 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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