James Vincent Ulrich
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
10 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Bank of America, N.AApr 2025 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 2024 to now
- Guardian Life InsuranceMar 2023 to Mar 2024
- Park Avenue SecuritesMar 2023 to Mar 2024
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 2020 to Jan 2023
- Morgan StanleyJan 2019 to Nov 2019
- Seton HallAug 2017 to May 2021
- Club MetroNov 2016 to Aug 2017
- St. Joseph MetuchenApr 2016 to Nov 2016
Exams passed
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 2 states (NJ, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7059224
- Firm CRD
- 7691