James Legg, financial advisor Bridgewater NJ

James Legg

CRD Number: 5309460
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Legg (CRD# 5309460) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Bridgewater, NJ and has over 14 years of experience in the finance industry.

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Merrill Lynch, Pierce, Fenner & Smith Incorporated
Company Name Location Dates Years
Bank Of America, N.a. Bridgewater, NJ Apr 2023 - Current < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bridgewater, NJ Feb 2023 - Current 1
Jpmorgan Securities LLC Franklin Park, NJ Aug 2016 - Feb 2023 6
Bank Of America, N.a. Pennington, NJ Jul 2011 - Aug 2016 5
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington, NJ Mar 2007 - Aug 2016 9
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for James E. Legg
Phone Number: 800-637-7455
Firm Website: https://www.merrill.com
Registered State(s):
  • NJ
  • TX
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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