James Maloney
James Maloney is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Ridgefield, CT, with 22 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
63 Copps Hill Rd, Ridgefield, CT, 06877
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2001Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Citizens Investment Services
Citizens Securities, INC.Broker
Hudson Heritage Capital Management, INC.Broker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Dean Witter Reynolds INC.Broker
State Registrations20 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.