Adviser and broker representative · Merrill Lynch, Pierce, Fenner & Smith Incorporated
James A. Deppner
CRD 6496921 · North Highlands, CA
At a glance
James A. Deppner is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in North Highlands, CA, according to the SEC’s Investment Adviser Public Disclosure records. James is also registered as a broker representative.
Current advisory firm
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedSince October 2026North Highlands, CA · $1.78T in regulatory assets
SEC adviser record
- Registered since
- 2026
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.
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