James Troy, financial advisor Guilford CT

James Troy

CRD Number: 1172773
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Troy (CRD# 1172773) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Guilford, CT and has over 40 years of experience in the finance industry.

Similar Advisors
Charles Green, financial advisor Guilford CT
Charles M. Green
CRD# 2726777
Springboard Asset Management LLC
Similar Advisors
Yaldez Abdel Samed, financial advisor Guilford CT
Yaldez Abdel Samed
CRD# 5623606
Citizens Securities, Inc.
Similar Advisors
Frank Abel, financial advisor Guilford CT
Frank B. Abel
CRD# 4288358
Commonwealth Financial Network
Company Name Location Dates Years
Bank Of America, N.a. Madison, CT Jun 2013 - Current 10
Merrill Lynch, Pierce, Fenner & Smith Incorporated Madison, CT Feb 2013 - Current 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1983
S65 NASAA Investment Advisors Law Examination Aug 1995
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 M. Troy
Phone Number: 800-637-7455
Firm Website: https://www.merrill.com
Registered State(s):
  • CT
  • FL
  • 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

Ready to hire a financial advisor? Get competitive proposals from James Troy and other advisors.
BADGES

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database derived from SEC.gov data covering every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.