James Shulman
James Shulman is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Boca Raton, FL, with 36 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
1 Town Center Rd, Boca Raton, FL, 33486
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Regulatory History (1)
Customer Dispute
January 1993Other Business Activities
James holds a Florida real estate sales associate license since 2015 for educational purposes. He spends minimal time on this activity.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
American Portfolios Financial Services, INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Fahnestock & CO. INC.Broker
Cibc World Markets CORP.Broker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Prudential Securities IncorporatedBroker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Drexel Burnham Lambert IncorporatedBroker
Southmark Financial Services, INC.Broker
State Registrations14 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.