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James Lawrence Oberheide
CRD#: 2402924
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
PBIG - CHICAGO
CHICAGO, IL 60606
Registration History
19952000200520102015202020252 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2024 (15 years)2 FIRMS2024 - Present (<1 year)BSANFORD C. BERNSTEIN & CO., LLC (CRD# 104474)2000 - 2007 (6 years)BSANFORD C. BERNSTEIN & CO., INC. (CRD# 1232)1993 - 2000 (7 years)IAALLIANCEBERNSTEIN L.P. (CRD# 108477)1997 - 2007 (9 years)
License(s)

State Registrations

B
Arizona 9/12/2024

B
Montana 9/12/2024

B
California 9/12/2024

B
Nevada 9/12/2024

B
Colorado 9/12/2024

B
New Mexico 9/12/2024

B
Delaware 9/12/2024

B
New York 9/12/2024

B
Florida 9/12/2024

B
North Carolina 9/12/2024

B
Illinois 9/12/2024

B
Ohio 9/12/2024

IA
Illinois 9/12/2024

B
Oklahoma 9/12/2024

B
Iowa 9/12/2024

B
South Carolina 9/12/2024

B
Kansas 9/12/2024

B
Tennessee 9/12/2024

B
Maine 9/12/2024

B
Texas 9/12/2024

B
Massachusetts 9/12/2024

IA
Texas 9/12/2024

B
Michigan 9/12/2024

B
Washington 9/12/2024

B
Minnesota 9/12/2024

B
Wisconsin 9/12/2024

B
Missouri 9/12/2024

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR PBIG - CHICAGO, CHICAGO, IL 60606
Registered with this firm since 9/12/2024

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR PBIG - CHICAGO, CHICAGO, IL 60606
Registered with this firm since 9/12/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 09/26/2024 MORGAN STANLEY (CRD#:149777) Chicago, IL
B
06/01/2009 - 09/26/2024 MORGAN STANLEY (CRD#:149777) Chicago, IL
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHICAGO, IL
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHICAGO, IL
IA
02/16/2007 - 04/02/2007 MORGAN STANLEY (CRD#:7556) CHICAGO, IL
B
02/16/2007 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) CHICAGO, IL
IA
07/08/1997 - 02/23/2007 ALLIANCEBERNSTEIN L.P. (CRD#:108477) CHICAGO, IL
B
12/07/2000 - 02/23/2007 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) CHICAGO, IL
B
11/24/1993 - 12/07/2000 SANFORD C. BERNSTEIN & CO., INC. (CRD#:1232) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.