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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

James Berg

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MACON, GA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dca7b650-fcf7-7598-706d-577986a0eba1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2003 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 2, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 2, 2000
First registration: Mar 31, 2003
Dual registered: yes, broker-dealer
Other names: JAMES ANDERSON BERG|James Berg, Iii
IAPD individual key: 4261121

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	Mar 28, 2023	n/a	yes	MACON, GA	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Apr 12, 2023	no	MACON, GA	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Mar 15, 2005	Feb 13, 2013	no	MACON, GA\|MACON, GA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 31, 2003	Apr 4, 2005	no	MACON, GA	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
RAYMOND JAMES & ASSOCIATES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 12, 2023	Mar 28, 2023	-15	Firm change	Ibd to wirehouse
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN KEEGAN & COMPANY, LLC	Apr 4, 2005	Mar 15, 2005	-20	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
705:7691:GA:2023-04-12	Apr 12, 2023	Mar 28, 2023	MACON, GA	Firm change

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Mar 28, 2023 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Apr 12, 2023factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Mar 15, 2005 to Feb 13, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 31, 2003 to Apr 4, 2005factForm ADV

Dated events

Occurred
Apr 12, 2023
Advisor changed firm
James Berg left Raymond James & Associates, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-03-28)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dca7b650-fcf7-7598-706d-577986a0eba1
First observed: Mar 31, 2003
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

James Berg

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MACON, GA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dca7b650-fcf7-7598-706d-577986a0eba1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:59 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Mar 28, 2023

n/a

yes

MACON, GA

Current employment

RAYMOND JAMES & ASSOCIATES, INC.

National bd RIA

Feb 13, 2013

Apr 12, 2023

MACON, GA

Previous registration

MORGAN KEEGAN & COMPANY, LLC

Former SEC adviser

Mar 15, 2005

Feb 13, 2013

MACON, GA|MACON, GA

Previous registration

CITIGROUP GLOBAL MARKETS INC.

Bd affiliated wealth

Mar 31, 2003

Apr 4, 2005

MACON, GA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

RAYMOND JAMES & ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 12, 2023

Mar 28, 2023

-15

Firm change

Ibd to wirehouse

MORGAN KEEGAN & COMPANY, LLC

RAYMOND JAMES & ASSOCIATES, INC.

Feb 13, 2013

Bulk transfer

Other

CITIGROUP GLOBAL MARKETS INC.

MORGAN KEEGAN & COMPANY, LLC

Apr 4, 2005

Mar 15, 2005

-20

Firm change

Other

Team

Left

Joined

From

Kind

705:7691:GA:2023-04-12

Apr 12, 2023

Mar 28, 2023

MACON, GA

Firm change