James Joseph Ertmann

CRD 2747524 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chicago, IL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 3Series 7Series 65Series 63
Registered states (34): Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · Texas · Utah · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2747524 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · BC capacity

start not retrieved → present
Barclays Capital Inc.
Chicago, IL · IA capacity

Mar 13, 2009 → Aug 8, 2015
Barclays Capital Inc.
Chicago, IL · BC capacity

Sep 22, 2008 → Aug 8, 2015
Lehman Brothers Inc.
Chicago, IL · IA capacity

May 19, 2004 → Oct 15, 2008
Lehman Brothers Inc.
Chicago, IL · BC capacity

May 18, 2004 → Sep 22, 2008
Bear, Stearns & Co. Inc.
Chicago, IL · IA capacity

May 16, 2001 → May 25, 2004
Bear, Stearns & Co. Inc.
New York, NY · BC capacity

May 9, 2001 → May 25, 2004
Goldman, Sachs & Co.
New York, NY · BC capacity

Jun 6, 1996 → May 23, 2001

Source & corrections

Where this page comes from

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