James P. Padilla
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 Peter Padilla, who also goes by James Padilla, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2013. James had worked at 7 firms and has passed the Series 66, 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
August 15, 2018 - February 27, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2018 - February 27, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2018 - July 13, 2018
TD AMERITRADE, INC.
February 26, 2018 - July 13, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - July 13, 2018
TD AMERITRADE, INC.
May 15, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
May 12, 2017 - February 26, 2018
SCOTTRADE, INC.
October 22, 2015 - September 12, 2016
MML INVESTORS SERVICES, LLC
October 15, 2015 - September 12, 2016
MML INVESTORS SERVICES, LLC
June 12, 2014 - August 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 2014 - August 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 2013 - April 25, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 30, 2013 - April 25, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 25, 2013 - June 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
