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James Maurice Gaughran

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Smithtown, NY

Stony Brook, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2014-08-04
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2014-08-04

Branch Locations

50 Route 111, Smithtown, NY 11787 • United States

Stony Brook, NY • 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 Smithtown NY 03/1984 Present
Bank Of America, N.A. Smithtown NY 11/2009 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-05-30
  • S63 Uniform Securities Agent State Law Examination
    1984-05-30
Other Names
  • James Gaughran

View on SEC IAPD

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OSAIC INSTITUTIONS, INC.

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Other Offices

LPL FINANCIAL LLC · SMITHTOWN, NY
CETERA INVESTMENT ADVISERS LLC · SMITHTOWN, NY
EDWARD JONES · SMITHTOWN, NY
LPL FINANCIAL LLC · SMITHTOWN, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SMITHTOWN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · SMITHTOWN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Smithtown, NY
COMMONWEALTH FINANCIAL NETWORK · Smithtown, NY

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