AdFi
JC

James Choe

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Princeton, NJCRD #2027504Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
13 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 13 states
ConnecticutDelawareDistrict of ColumbiaFloridaMarylandMassachusettsNew HampshireNew JerseyNew YorkPennsylvaniaRhode IslandTexasVirginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/10/2014
Series 65
Uniform Investment Adviser Law Examination
Passed 4/27/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 4/24/1990
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/1/2014
Series 25
NYSE Trading Assistant Examination
Passed 10/4/2005
Series 55
Limited Representative-Equity Trader Exam
Passed 4/3/2000
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/1/1991

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
9/12/2014Princeton, NJ
DIMENSION SECURITIES, LLC
11/9/20093/5/2010Red Bank, NJ
BEAR, STEARNS & CO. INC.
2/21/200711/20/2007New York, NY
CUTTONE & CO., INC.
6/1/20052/28/2007New York, NY
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
1/4/20056/7/2005Iselin, NJ
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C.
11/28/20031/21/2004New York, NY
ASSENT LLC
3/3/200311/10/2003Bolingbrook, IL
ANDOVER BROKERAGE, L.L.C.
10/12/20013/3/2003Montebello, NY
SCHONFELD SECURITIES, LLC
7/24/200110/18/2001Jericho, NY
ANDOVER BROKERAGE, L.L.C.
12/3/19995/30/2001Montebello, NY
CARLIN EQUITIES CORP.
5/28/199911/17/1999New York, NY
OSCAR GRUSS & SON, INCORPORATED
8/24/19981/27/1999New York, NY
A.B. WATLEY, INC.
2/7/19959/23/1996New York, NY
SMITH BARNEY INC.
3/21/199412/20/1994New York, NY
PRIME CAPITAL SERVICES, INC.
10/15/19922/10/1994Poughkeepsie, NY
METLIFE SECURITIES INC.
3/5/19916/23/1992Springfield, MA
METROPOLITAN LIFE INSURANCE COMPANY
3/5/19916/23/1992New York, NY

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Choe has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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