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James Vincent Depiero Jr

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

New York, NYCRD #1501142Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
4 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

James Vincent Depiero has worked in the securities industry since 1986. They have passed the Series 65, 63, 15, 7, 5, and 3 examinations. They are registered to provide investment advisory services in Montana, New Jersey, New York, and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
MontanaNew JerseyNew YorkTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/30/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 5/29/1986
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 5
Interest Rate Options Examination
Passed 2/26/1987
Series 15
Foreign Currency Options Examination
Passed 2/23/1987
Series 3
National Commodity Futures Examination
Passed 11/7/1986
Series 7
General Securities Representative Examination
Passed 5/17/1986

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
9/8/1999New York, NY
SALOMON BROTHERS INC.
5/20/198610/15/1992New York, NY

Official records & sources

Data as of June 27, 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 Vincent Depiero Jr 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.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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