James Ertmann
James Ertmann is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Chicago, IL, with 29 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
110 N Wacker Dr, Pbig - Chicago, Chicago, IL, 60606
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Regulatory History (4)
Customer Dispute
May 2001Employment Separation After Allegations
April 2001Customer Dispute
April 2001Customer Dispute
February 2001Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Barclays Capital INC.
Barclays Capital INC.Broker
Lehman Brothers INC.
Lehman Brothers INC.Broker
Bear, Stearns & CO. INC.
Bear, Stearns & CO. INC.Broker
Goldman, Sachs & CO.Broker
State Registrations33 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.