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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JAMES M HUBBARD

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLOTTE, NC | MCLEAN, VA

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Search this name across graphsid dfx:ria:622161b2-0831-cf30-8135-c1f19b94e52d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 31, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 24, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Nov 24, 2003
First registration: Aug 31, 2009
Dual registered: yes, broker-dealer
Other names: JAMES MARK HUBBARD|JAMES MARK HUBBARD|JAMES MARK HUBBARD
IAPD individual key: 2186049

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 5, 2013	n/a	yes	MCLEAN, VA\|CHARLOTTE, NC	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Aug 13, 2012	May 31, 2013	no	WASHINGTON, DC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 9, 2010	Feb 23, 2012	no	CHARLOTTE, NC\|BETHESDA, MD	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Aug 31, 2009	Aug 5, 2010	no	WASHINGTON, DC\|WASHINGTON, DC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVICE AND PLANNING SERVICES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 31, 2013	Jun 5, 2013	5	Firm change	Other
WELLS FARGO ADVISORS	ADVICE AND PLANNING SERVICES	Feb 23, 2012	Aug 13, 2012	172	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	WELLS FARGO ADVISORS	Aug 5, 2010	Nov 9, 2010	96	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 5, 2013 to presentfactForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Aug 13, 2012 to May 31, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 9, 2010 to Feb 23, 2012factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 31, 2009 to Aug 5, 2010factForm ADV

Dated events

No dated event names this entity yet.