James R. Durkee
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 Roscoe Durkee Jr., CFP®, who also goes by James R Durkee, James Roscoe Durkee Jr, James Roscoe Durkee, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 9 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2013
Experience
April 7, 2016 - December 21, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 2016 - December 21, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2014 - April 22, 2015
LPL FINANCIAL LLC
October 17, 2013 - April 22, 2015
LPL FINANCIAL LLC
October 18, 2007 - June 6, 2014
ATLAS PRIVATE WEALTH MANAGEMENT, LLC
January 12, 2006 - September 26, 2006
UBS FINANCIAL SERVICES INC.
April 3, 2003 - January 31, 2006
MERCER ALLIED COMPANY, L.P.
January 28, 2002 - June 20, 2002
IDS LIFE INSURANCE COMPANY
January 28, 2002 - June 20, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
March 23, 2001 - October 30, 2001
MORGAN STANLEY DW INC.
March 15, 2000 - November 10, 2000
KEYBANC CAPITAL MARKETS 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.
