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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dissmore Wright is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. James has been in the industry since February 1998. James is registered to provide investment advice in several states including California, North Dakota, and Texas. James has passed multiple industry exams including the Series 7, Series 10, Series 31, Series 65, and Series 66. James also holds a Securities Industry Essentials Examination (SIE). James provides a variety of investment services including financial planning, educational seminars, and portfolio management. James's firm, Merrill Lynch, Pierce, Fenner & Smith Inc., manages approximately $10 billion - $50 billion in client assets and is registered with FINRA.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/24/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
IA
Issued 02/19/2003
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 02/09/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/18/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
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
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