Individual Firm
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JAMES SCOTT ROCHFORD
CRD#: 1990233
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
WELLESLEY HILLS, MA 02481
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Disclosures
35
Years of Experience
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State Registrations
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California 5/2/2003
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Michigan 5/2/2003
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Colorado 11/21/2023
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Missouri 5/9/2014
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Connecticut 9/25/2003
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New Hampshire 11/5/2003
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Florida 3/21/2005
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New Jersey 11/17/2020
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Hawaii 9/21/2023
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New York 5/2/2003
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Illinois 1/14/2016
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Ohio 12/4/2024
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Indiana 1/10/2005
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South Carolina 4/3/2012
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Louisiana 5/9/2003
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Texas 5/2/2003
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Maine 9/8/2010
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Texas 10/20/2004
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Maryland 3/25/2014
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Virginia 3/15/2024
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Massachusetts 5/5/2003
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Washington 5/18/2017
SRO Registrations
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Registered with this firm since 10/20/2004
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Registered with this firm since 5/2/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/29/2000 - 05/07/2003 | PURCHASE, NY | |
B | 02/04/1997 - 02/28/2000 | PHILADELPHIA, PA | |
B | 03/27/1995 - 02/12/1997 | NEW YORK, NY | |
B | 09/19/1989 - 04/21/1995 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.