Home  >  BrightScope Advisor Pages  >  Jose A De La Lama

help text

Jose A De La Lama

Description

Jose De La Lama a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 30,000 registered representatives nationwide. Jose has held an industry securities registration for 11 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

help text

Answers and Guides

help text
0 Answers and 0 Financial Guides

Top Answers

Jose A De La Lama has not answered any questions on Financial Q&A.

Top Guides

Jose A De La Lama has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

help text
ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
Other Pooled Investment Vehicles
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

help text
Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 1 year, 7 months Oct 2011 - Present
Morgan Keegan & Company 6 years, 2 months Aug 2005 - Oct 2011
Sun Trust Securities, Inc. 1 year, 2 months Jun 2004 - Aug 2005
Wm Financial Services, Inc 1 year, 7 months Oct 2002 - May 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/15/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

help text
Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute
As of Date
05/15/2012
09/17/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

help text
Exam Series Passed Date
General Securities Principal Examination Series 24 07/27/2005
Uniform Combined State Law Examination Series 66 12/11/2000
General Securities Representative Examination Series 7 11/13/2000

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions