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James Copeland

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About James Copeland

James Copeland is an active advisor who has been in the industry since 1994. Currently, James Copeland is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and works from their Garden City, NY office. James Copeland has previously worked with UBS Financial Services Inc., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., MORGAN STANLEY SMITH BARNEY, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, DEAN WITTER REYNOLDS INC., INTERSTATE/JOHNSON LANE CORPORATION and NATIONSSECURITIES.

Firm Information

James Copeland is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Copeland’s Registration & Firm History

NY

01/31/2023 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)

NY

12/15/2016 - 11/23/2022

UBS FINANCIAL SERVICES INC. (JERICHO NY)

NY

10/01/2012 - 12/07/2016

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

07/30/2012 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)

NY

06/01/2009 - 01/27/2012

MORGAN STANLEY SMITH BARNEY (PURCHASE NY)

NY

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)

CT

01/16/2007 - 04/02/2007

MORGAN STANLEY DW INC. (STAMFORD CT)

NY

02/26/2004 - 12/19/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GARDEN CITY NY)

NY

01/07/2003 - 02/06/2004

MORGAN STANLEY DW INC. (PURCHASE NY)

NY

06/25/1997 - 01/02/2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NC

02/26/1996 - 03/03/1997

INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)

NA

02/06/1995 - 02/27/1996

NATIONSSECURITIES

NY

01/25/1993 - 01/11/1995

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 10/25/1996

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 01/09/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/05/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/14/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/24/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Copeland.
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