James Mcintosh
James Mcintosh is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Ridgefield, CT, with 24 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
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James serves as an executor for RJM, a fiduciary entity, dedicating about 10-20% of his time to this role. He spends minimal time on this activity during trading hours.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Citigroup Global Markets INC.Broker
Prudential Investment Management Services LLCBroker
American Skandia Marketing, INC.Broker
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.