James is a Senior Vice President, Wealth Management Advisor, and Retirement Benefits Consultant in Merrill’s Pasadena, California office. He has been with Merrill Lynch Wealth Management since 1997. He holds a Chartered Retirement Planning Counselor^TM designation, Certified 401k Professional Designation (C(K)P), Certified Plan Fiduciary Advisor, CPFA^TM designation and earned the designation of CIMA^® through the Investments & Wealth Institute^™ (The Institute) in conjunction with the Wharton Business School. With many years of experience, he focuses in customized financial recommendations that include retirement planning, corporate stock options, 10(b) 5-1 plans, concentrated stock positions, alternative investments*, estate-planning issues and money management. He also focuses on executive and corporate services including, qualified and non-qualified retirement plans, ESOP’s, ESPP’s, Defined Benefit Institutional Consulting and liability management for both corporations and individuals.

In order to establish objectives, develop fitting strategies, make recommendations, and review the progress towards reaching goals and objectives, he insists on understanding the specific needs and biases of every client. Clients can expect to receive personalized advice and access to the specialized investment services essential to sophisticated investors and their families.


*Some or all alternative investment programs may not be in the best interest of certain investors. No assurance can be given that any alternative investment’s investment objectives will be achieved.