James Davidson Henry

CRD 4231831 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: James Henry

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 31Series 7Series 6Series 66
Registered states (16): California · Colorado · District Of Columbia · Florida · Georgia · Idaho · Kentucky · New York · North Carolina · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · Wisconsin
Years in the industry (source record): 22
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4231831 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 (14)

From the source registration record · current first

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

Jan 26, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · BC capacity

Jan 26, 2017 → present
Wells Fargo Advisors Financial Network, LLC
Charlotte, NC · IA capacity

Oct 26, 2016 → Jan 11, 2017
Wells Fargo Advisors Financial Network, LLC
Charlotte, NC · BC capacity

Oct 26, 2016 → Jan 11, 2017
Ameriprise Financial Services, Inc.
Clearwater, FL · IA capacity

Sep 23, 2014 → Jul 25, 2016
Ameriprise Financial Services, Inc.
Clearwater, FL · BC capacity

Sep 22, 2014 → Jul 25, 2016
Oppenheimer & Co. Inc.
Tampa, FL · IA capacity

Jul 22, 2014 → Sep 16, 2014
Oppenheimer & Co. Inc.
Tampa, FL · BC capacity

Jul 21, 2014 → Sep 16, 2014
Edward Jones
Clearwater, FL · IA capacity

Jun 12, 2014 → Jul 10, 2014
Edward Jones
St. Louis, MO · BC capacity

Jun 9, 2014 → Jul 10, 2014
Ameriprise Advisor Services, Inc.
Tampa, FL · IA capacity

Oct 9, 2007 → Oct 5, 2009
Ameriprise Advisor Services, Inc.
Tampa, FL · BC capacity

Jul 31, 2007 → Oct 5, 2009
Franklin/Templeton Distributors, Inc.
San Mateo, CA · BC capacity

Jun 28, 2004 → Feb 27, 2006
Intersecurities, Inc.
Philadelphia, PA · BC capacity

Nov 7, 2000 → Aug 30, 2002

Source & corrections

Where this page comes from

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