James MiddletonCRD Number: 3101391
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
James Middleton (CRD# 3101391) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wyomissing, PA and has over 18 years of experience in the finance industry.
Clothier Springs Capital Management, LLC
Triad Advisors, Inc.
Kaufman Advisory Services, Inc.
|Bank Of America, N.a.||Wyomissing, PA||Sep 2011 - Current||5|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Wyomissing, PA||Jul 1998 - Current||18|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 1998|
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
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