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James Marten: Exposed with the Allegations of SEC (Update 2024)

Who is James Marten (CRD: #3187674)?

James Marten works for Merrill Lynch Wealth Management as its managing director, global corporate advisor, and wealth management advisor. Once he rejoined Merrill Lynch in 1981, he began his career in the financial services sector. He has a certification from the Finance and Asset Department at the Wharton School identifying him as a Licenced Investment Management Analyst.

ERISA plans, foundations, and endowments have been James Marten’s main areas of focus at Merrill Lynch. James Marten graduated with a B.S. in Commerce and Political Science from the University of Wisconsin.

He served as the Secretary of Covenant Community Church and a member of the governing body of Scottsdale Christian Academy. James Marten is registered with FINRA in Categories 65, 63, and 7.

About Merrill Lynch Wealth Management:

Due to Merrill Lynch’s 2009 merger with Bank of America, the company is now just known as Merrill. Around 19,000 advisors were employed by the company, which most recently operated as the Bank of America Wealth Management Division. Merrill Wealth administration oversees the administration of $2.75 trillion in assets, including the planning of retirement, higher learning, inheritance, and various other life objectives with the use of financial investments and credit management.

Early Beginnings: Merrill Lynch Wealth Management

Edmund C. Lynch, as well as Winthrop H. Smith,┬ámerged in 1914, which is where Merrill Lynch Wealth Management got its start. Later, to concentrate on investment banking, Charles E. Merrill split off the Company’s consumer brokerage operation to E.A. Pierce & Company. On social media, Merrill Lynch has been acknowledged as a 2020 Wealthiest Award Winner.

To meet the varied needs of its customers, Merrill Lynch Wealth Management, Inc. provides a full range of financial services. They include, among others:

Management of Investemnts

Assets such as stocks, bonds, mutual fund investments, exchange-traded fund investments (ETFs), and other investment choices are available through Merrill Lynch Wealth Management. The Merrill Lynch Financial Wealth Management financial advisor assists clients in creating individual investment programs that fit their unique financial objectives and risk-aversion levels.

Financial Preparation

Retirement, education, and estate planning are just a few of the financial planning services provided by the firm Merrill Lynch Wealth Management. Their financial advisers collaborate with clients to comprehend their financial goals and create a detailed financial strategy to assist in achieving those aims.

Finance and Banking

For its clients to manage their short-term financial requirements and long-term financial objectives, Merrill Lynch Wealth Administration provides banking and lending options such as managing bank accounts, mortgages, equity investments in their homes, and lines of credit.

What is a Financial Advisor?

A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.

Annuities and Insurance

Merrill Lynch Wealth Management, Inc. offers protection and annuity products, such as life insurance, healthcare insurance, and annuities, to assist clients in safeguarding their financial future. These products are made to offer stability and peace of mind financially and are aimed to help clients avoid financial hardship.

Social Impact Investing and Philanthropy

For customers who wish to align what they invest with their values and have a good impact on society, Merrill Lynch Wealth Management, Inc. offers philanthropic advisory services and socially responsible investing choices.

18/12/2023 Update
As of now, James Marten has not responded, nor has she apologized for her misdeeds. She has ignored our efforts to highlight the problems faced by her victims. Furthermore, she has only focused on propagating her fake PR.

James Marten Disclosures: BrokerCheck, FINRA, And SEC

The brokerCheck report of James Marten includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.

There is a one-customer dispute against James Marten.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.


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SEC Litigations & Forms


Source: James Marten – SEC Site Search Search Results

James Marten Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt,, Justia, Trellis Law, and Law360. If James Marten has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against James Marten which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against James Marten on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

James Marten Complaints & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against James Marten using the websites down below:

You can contact the law firms mentioned above if facing issues with James Marten or any financial advisor.

Better Alternatives To James Marten:

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177


  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000


  • Financial planning
  • Portfolio management

Michael Whitaker
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