Tricia L Mccaffrey

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2015 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL

Previous Registrations

• 2012-03-27 → 2015-03-12
  Leucadia Asset Management Llc
  New York, NY
  Chicago, IL
• 2009-06-01 → 2012-03-28
  Morgan Stanley
  Chicago, IL
  Chicago, IL
• 2009-04-06 → 2009-06-01
  Morgan Stanley & Co. Llc
  Chicago, IL

Other Businesses

I*113308 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GALAXIE CHICAGO LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHICAGO, ILLINOIS 60618 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OTHER, DANCE PERFORMER START DATE OF RELATIONSHIP: 2/1/2018 NUMBER OF HOURS DEVOTED: 15 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DANCE PERFORMING ENTERTAINMENT AGENCY

Exams

• S66 Uniform Combined State Law Examination
  2009-04-03

Other Names

• Trish Youmans
• Tricia Lyn Youmans
• Patricia Lyn Youmans
• Tricia L Youmans
• Tricia L Mccaffrey
• Trish L Mccaffrey