James Troy
James Troy is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Guilford, CT, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
350 Goose Ln, Ste 303-C, Guilford, CT, 06437
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Regulatory History (4)
Customer Dispute
December 2004Customer Dispute
July 1999Customer Dispute
October 1993Customer Dispute
April 1992Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Lehman Brothers INC.Broker
Prudential Securities IncorporatedBroker
State Registrations25 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.