James J King

CRD 3027548 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: James Jeffrey King

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 4Series 10Series 9SIESeries 31Series 7Series 6
Registered states (1): North Carolina
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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · BD capacity

Jul 7, 2022 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
BD capacity

Mar 27, 2013 → May 23, 2022
Wells Fargo Clearing Services, LLC
IA capacity

Mar 27, 2013 → May 23, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Mar 11, 2011 → Mar 15, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Mar 11, 2011 → Mar 15, 2013
Wells Fargo Advisors, LLC
IA capacity

Feb 3, 2009 → Mar 10, 2011
Wells Fargo Advisors, LLC
BD capacity

Aug 24, 2005 → Mar 10, 2011
Wachovia Securities, LLC
BD capacity

Oct 1, 2000 → Dec 11, 2003
First Union Brokerage Services, Inc.
BD capacity

Mar 23, 2000 → Oct 1, 2000
Multi-Financial Securities Corporation
BD capacity

Sep 27, 1999 → Dec 31, 1999
First Union Brokerage Services, Inc.
BD capacity

Apr 21, 1998 → Sep 8, 1999

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3027548 ↗ FINRA BrokerCheck record for CRD 3027548 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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