James Harding, financial advisor Grand Rapids MI
93 score

James Harding

CRD Number: 3120515
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Harding (CRD# 3120515) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Grand Rapids, MI and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America,na Grand Rapids, MI Dec 2009 - Current 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated Grand Rapids, MI Nov 2006 - Current 10
Salomon Smith Barney Inc. Grand Rapids, MI Aug 1998 - Nov 2006 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1998
S66 NASAA Uniform Combined State Law Examination Jan 2007
Contact Info for James A. Harding
Phone Number: 800-637-7455
Registered State(s):
  • MI
  • TX
  • OH
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • 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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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