Alfred J. Mccabe
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.
Alfred Joseph Mccabe, who also goes by Alfred Joeseph Mccabe, Fred Mccabe, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1986. Alfred had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - September 5, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 5, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 5, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 3, 2005 - September 27, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 3, 2005 - September 27, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - December 13, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - December 13, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 22, 2002 - October 20, 2004
QUICK & REILLY, INC.
July 15, 1996 - October 20, 2004
QUICK & REILLY, INC.
August 17, 1995 - June 11, 1996
INVESTMENT NETWORK, INC.
June 30, 1987 - May 11, 1995
AMERIPRISE ADVISOR SERVICES, INC.
July 1, 1986 - May 12, 1987
NORTH AMERICAN CAPITAL CORPORATION
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
Series 8
Date: 6/17/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
