James Tomoda (CRD# 4172887) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wellesley Hills, MA and has over 23 years of experience in the finance industry.
CRD# 5839878
Fidelity Personal And Workplace Advisors
CRD# 5173053
Fidelity Personal And Workplace Advisors
CRD# 4689919
Abraham, Robert Ralph Jr
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America, N.a. | Wellesley Hills, MA | Aug 2015 - Current | 8 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wellesley Hills, MA | May 2015 - Current | 9 |
| Morgan Stanley Private Bank, National Association | New York, NY | Jan 2015 - May 2015 | < 1 |
| Morgan Stanley Smith Barney | Wellesley, MA | Jun 2009 - May 2015 | 5 |
| Morgan Stanley & Company, Incorporated | Wellesley, MA | Apr 2007 - May 2015 | 8 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Aug 2000 |
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- CT
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- 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
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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