James Fuhrman
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 Fuhrman, who also goes by James M Fuhrman, James Michael Fuhrman, Jim Michael Fuhrman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - August 6, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2014 - August 6, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2014 - May 19, 2014
CETERA INVESTMENT ADVISERS LLC
November 20, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
November 20, 2013 - May 19, 2014
CETERA INVESTMENT SERVICES LLC
August 10, 2009 - November 18, 2013
SORRENTO PACIFIC FINANCIAL, LLC
August 10, 2009 - November 18, 2013
SORRENTO PACIFIC FINANCIAL, LLC
May 22, 2007 - August 3, 2009
PNC WEALTH MANAGEMENT LLC
April 20, 2007 - August 3, 2009
PNC WEALTH MANAGEMENT LLC
January 22, 2007 - April 2, 2007
BANCNORTH INVESTMENT GROUP, INC.
March 1, 2005 - July 26, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 15, 2004 - February 22, 2005
CETERA INVESTMENT SERVICES LLC
September 22, 2004 - December 17, 2004
PENN SECURITIES, INC.
April 25, 2003 - March 30, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 7, 2002 - April 24, 2003
BNY MELLON SECURITIES LLC
July 24, 2001 - January 8, 2002
WELLS FARGO CLEARING SERVICES, LLC
July 12, 2000 - September 5, 2000
ING FUNDS DISTRIBUTOR, INC.
April 6, 1999 - January 30, 2001
DIRECTED SERVICES LLC
February 14, 1997 - February 19, 1999
VANGUARD MARKETING CORPORATION
December 3, 1996 - January 27, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 3, 1996 - January 27, 1997
EQUITABLE ADVISORS, LLC
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.
