Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JAMES MAURICE GAUGHRAN
JAMES GAUGHRAN
CRD#: 1264919
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 50 ROUTE 111
SMITHTOWN, NY 11787
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2014 - Present (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - Present (40 years)
License(s)

State Registrations

B
Alabama 2/22/1996
B
Michigan 10/7/2010
B
Alaska 1/6/2020
B
Minnesota 1/6/2020
B
Arizona 10/5/2018
B
Nevada 5/24/2016
B
California 2/2/1988
B
New Jersey 5/23/1984
B
Colorado 9/18/2002
B
New York 5/31/1984
B
Connecticut 2/11/2014
IA
New York 4/19/2021
B
Delaware 7/9/2014
B
North Carolina 6/3/2009
B
Florida 5/23/1984
B
Oregon 1/3/2023
B
Hawaii 9/22/2020
B
Pennsylvania 5/7/1987
B
Illinois 2/26/2025
B
South Carolina 1/6/2020
B
Kansas 10/4/2017
B
South Dakota 1/5/2024
B
Louisiana 1/6/2020
B
Texas 2/10/2014
B
Maine 3/6/2019
IA
Texas 8/4/2014
B
Maryland 7/26/2018
B
Virginia 1/26/2009
B
Massachusetts 1/14/1991
B
Washington 1/6/2020

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
50 ROUTE 111, SMITHTOWN, NY 11787
Stony Brook, NY
Registered with this firm since 8/4/2014
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
50 ROUTE 111, SMITHTOWN, NY 11787
Stony Brook, NY
Registered with this firm since 5/22/1984
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.