Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JAMES JOHN SPANOS
James J Spanos
CRD#: 6575487
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N DUKE ST
LANCASTER, PA 17602
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - Present (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - 2016 (<1 year)
License(s)

State Registrations

B
Arizona 4/12/2021
B
New York 7/19/2018
B
California 12/4/2020
B
North Carolina 1/5/2018
B
Colorado 12/4/2020
B
Pennsylvania 9/14/2016
B
Delaware 10/30/2024
IA
Pennsylvania 9/14/2016
B
Florida 7/17/2018
B
South Carolina 2/3/2023
B
Georgia 4/12/2021
B
Tennessee 4/12/2021
B
Illinois 12/4/2020
IA
Texas 12/11/2017
B
Maryland 3/18/2020
B
Texas 11/29/2022
B
Massachusetts 4/12/2021
B
Utah 12/9/2024
B
Missouri 4/12/2021
B
Vermont 4/12/2021
B
Montana 10/16/2024
B
Virginia 4/9/2019
B
New Jersey 3/13/2017
B
West Virginia 2/26/2021

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

View Exams Passed by the individual in the detailed report

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 DUKE ST, LANCASTER, PA 17602
Registered with this firm since 9/14/2016
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N DUKE ST, LANCASTER, PA 17602
Registered with this firm since 9/14/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/16/2016 - 06/27/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LANCASTER, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.