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Detailed Report
James A Trevino
James Alexander Trevino, James A Treviño, James Treviño
CRD#: 6730196
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5260 N PALM AVE
FRESNO, CA 93704
Registration History
201920202021202220232024202520262 FIRMS2020 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BSCF SECURITIES, INC. (CRD# 47275)2019 - 2020 (<1 year)IAFORD FINANCIAL GROUP (CRD# 284977)2021 - 2022 (<1 year)
License(s)

State Registrations

B
Arizona 11/16/2022
B
Nevada 11/16/2022
B
California 11/8/2022
B
Oregon 11/16/2022
IA
California 11/8/2022
B
Texas 11/16/2022
B
Colorado 10/17/2024
IA
Texas 11/16/2022
B
Florida 11/16/2022
B
Washington 11/16/2022
B
Michigan 6/26/2023
B
Wyoming 1/6/2025

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)
5260 N PALM AVE, FRESNO, CA 93704
Registered with this firm since 11/8/2022
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5260 N PALM AVE, FRESNO, CA 93704
Registered with this firm since 11/8/2022
Previous Registration(s)
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IA
 08/06/2020 - 03/30/2022 LPL FINANCIAL LLC (CRD#:6413) FRESNO, CA
B
 06/22/2020 - 03/30/2022 LPL FINANCIAL LLC (CRD#:6413) FRESNO, CA
IA
 10/07/2021 - 03/08/2022 FORD FINANCIAL GROUP (CRD#:284977) FRESNO, CA
B
 09/03/2019 - 03/20/2020 SCF SECURITIES, INC. (CRD#:47275) SAN DIEGO, CA
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.