JAMES JOSEPH ERTMANN is an investment adviser representative (IAR) with state registration records since 2001, appearing at 4 firms. Currently registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
| Firm | From | To | Current |
|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2015-07-21 | present | Yes |
| BARCLAYS CAPITAL INC. | 2009-03-13 | 2015-08-08 | — |
| LEHMAN BROTHERS INC. | 2004-05-19 | 2008-10-15 | — |
| J.P. MORGAN SECURITIES LLC | 2001-05-16 | 2004-05-25 | — |