AdFi
JP

James Patrick Lowry

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

Huntersville, NCCRD #4393638Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
20 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 20 states
ArizonaCaliforniaColoradoConnecticutFloridaGeorgiaIllinoisKentuckyMaineMinnesotaNew HampshireNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTennesseeTexasVirginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 1/25/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 10/1/2001
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/22/2001

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
5/15/2024Huntersville, NC
LPL FINANCIAL LLC
12/7/20155/23/2024Huntersville, NC
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
6/21/201212/8/2015Huntersville, NC
WOODBURY FINANCIAL SERVICES, INC.
7/1/20086/29/2012Huntersville, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
1/26/20067/2/2008Huntersville, NC

Official records & sources

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

Other advisors at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Showing 12 of 25660 in the directory

View MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED firm profile
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 Patrick Lowry 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.

James Patrick Lowry - Financial Advisor in Huntersville, NC | AdvisorFinder