James A. Skorupsky
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 Alexander Skorupsky, who also goes by James Skorupsky, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 14 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
March 1, 2017 - April 14, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2017 - April 14, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2015 - September 21, 2016
MML INVESTORS SERVICES, LLC
March 23, 2015 - September 21, 2016
MML INVESTORS SERVICES, LLC
July 22, 2011 - December 31, 2014
CUSO FINANCIAL SERVICES, L.P.
July 11, 2011 - December 31, 2014
CUSO FINANCIAL SERVICES, L.P.
November 23, 2010 - May 4, 2011
INVEST FINANCIAL CORPORATION
October 15, 2010 - May 4, 2011
INVEST FINANCIAL CORPORATION
May 14, 2007 - October 15, 2010
PNC WEALTH MANAGEMENT LLC
May 14, 2007 - October 15, 2010
PNC WEALTH MANAGEMENT LLC
August 19, 2005 - April 24, 2007
EQUITABLE ADVISORS, LLC
August 9, 2005 - April 24, 2007
EQUITABLE ADVISORS, LLC
June 23, 2004 - July 18, 2005
IFMG SECURITIES, INC.
October 16, 2001 - June 23, 2004
M&T SECURITIES, INC.
June 17, 1997 - December 31, 2000
MBSC, LLC
February 14, 1994 - September 24, 2001
DREYFUS INVESTMENT SERVICES COMPANY, LLC
August 5, 1992 - February 3, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 5, 1992 - February 3, 1994
OSAIC FA, INC.
September 5, 1991 - June 19, 1992
NYLIFE SECURITIES LLC
November 21, 1989 - August 14, 1991
CLOVER SECURITIES CORP.
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 |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
