James E. Lauri
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Edward Lauri was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - June 8, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - June 8, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1998 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 8, 1995 - January 1, 1998
NATIONSSECURITIES
October 10, 1994 - March 15, 1995
IFMG SECURITIES, INC.
August 31, 1994 - October 17, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 16, 1990 - September 1, 1994
INVEST FINANCIAL CORPORATION
March 30, 1989 - October 24, 1990
SOUTHEAST BANK BROKERAGE SERVICE, INC.
December 10, 1985 - March 1, 1989
MABON, NUGENT & CO.
September 22, 1983 - December 11, 1985
INVEST FINANCIAL CORPORATION
July 7, 1983 - October 3, 1983
MORGAN STANLEY DW INC.
June 21, 1983 - June 24, 1983
DONALD SHELDON & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
