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Daniel Patrick Mccarthy

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

Pennington, NJ

Attleboro, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2009-10-23
  • RI RA
    APPROVED
    Since 2009-10-23

Branch Locations

3400 Pawtucket Ave Central Business Review Unit, Riverside, RI 02915 • United States

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Attleboro, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 10/2009 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Lincoln, RI
    Santa Barbara, CA
    Lincoln, RI
  • 2002-08-27 → 2004-10-20
    Quick & Reilly, Inc.
    Lincoln, RI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-14
  • S66 Uniform Combined State Law Examination
    2000-09-14

View on SEC IAPD

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