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Mary Caulfield

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

Medfield, 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
CT RA APPROVED 2021-01-19
TX RA APPROVED 2021-01-19
  • CT RA
    APPROVED
    Since 2021-01-19
  • TX RA
    APPROVED
    Since 2021-01-19

Branch Locations

100 Federal St, Boston, MA 02110 • United States

Medfield, 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
Wells Fargo Advisors, Llc Boston MA 02/2006 11/2016
Wells Fargo Clearing Services, Llc Boston MA 11/2016 12/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 01/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-28
  • S66 Uniform Combined State Law Examination
    2016-11-28
Other Names
  • Mary Catherine Caufield
  • Mary Catherine Caulfield

View on SEC IAPD

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Other Offices

COHERE CAPITAL · BOSTON, MA
BAYPINE HOLDINGS LP · BOSTON, MA
GUIDEPOST GROWTH EQUITY MANAGEMENT COMPANY, L.P. · BOSTON, MA
LONGWOOD MANAGEMENT LLC · BOSTON, MA
ADVENT INTERNATIONAL, L.P. · BOSTON, MA
NEW HERITAGE CAPITAL, LLC · BOSTON, MA
WUXI HEALTHCARE VENTURES MANAGEMENT US LLC · BOSTON, MA
NEWPATH MANAGEMENT, L.P. · BOSTON, MA

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