Michael E. Mccarthy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Edward Mccarthy, who also goes by Michael Ed Mccarthy, Mike Mccarthy, Michael Mccarthy, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2017 - January 6, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2017 - January 6, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2008 - August 14, 2017
DEUTSCHE BANK SECURITIES INC.
September 4, 2008 - August 14, 2017
DEUTSCHE BANK SECURITIES INC.
October 28, 2002 - June 14, 2004
CITICORP INVESTMENT SERVICES
June 20, 2000 - October 10, 2001
CITICORP INVESTMENT SERVICES
July 31, 1996 - April 24, 1997
ABN AMRO INCORPORATED
August 11, 1993 - August 7, 1996
THE CHICAGO CORPORATION
November 20, 1991 - August 3, 1993
FIRST TRUST PORTFOLIOS L.P.
April 12, 1990 - October 1, 1991
CLAYTON BROWN & ASSOCIATES, INC.
August 18, 1987 - February 5, 1990
CITICORP SECURITIES, INC.
May 1, 1987 - May 29, 1987
DB ALEX. BROWN LLC
November 24, 1982 - October 11, 1984
BECKER PARIBAS INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Private Wealth ManagerCRD#: 7691TRUST BUT VERIFY
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