James Peller, financial advisor Merrillville IN
96 score

James Peller

CRD Number: 1335047
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Peller (CRD# 1335047) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Merrillville, IN and has over 31 years of experience in the finance industry. James Peller has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrillville, IN May 2009 - Current 7
Bear, Stearns & Company Inc. Merrillville, IN Oct 2008 - May 2009 < 1
J.p. Morgan Securities Inc. Merrillville, IN Jul 2006 - May 2009 2
Banc One Securities Corporation Merrillville, IN Jun 1990 - May 2009 18
J.p. Morgan Securities Inc. Merrillville, IN Sep 2006 - Apr 2009 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1985
S65 NASAA Investment Advisors Law Examination Feb 1996
Contact Info for James W. Peller
Phone Number: 800-637-7455
Registered State(s):
  • IN
  • TX
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
96
Clean Record
This advisor has a clean track record with regulators.

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