Individual Firm
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PAUL ROLAND MCCARTHY
CRD#: 2211203
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
WELLESLEY HILLS, MA 02481
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4/14/2008
Customer Dispute
Denied
State Registrations
B
Alabama 10/15/2012
B
Nevada 1/5/2018
B
Arizona 10/12/2006
B
New Hampshire 3/23/2001
B
California 10/11/2000
B
New Jersey 1/16/2007
B
Colorado 1/6/2011
B
New York 10/11/2000
B
Connecticut 12/19/2002
B
North Carolina 11/20/2003
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Connecticut 8/21/2023
B
Ohio 12/15/2005
B
Delaware 1/5/2005
B
Oregon 5/24/2002
B
District of Columbia 1/30/2013
B
Pennsylvania 12/19/2002
B
Florida 3/13/2002
B
Rhode Island 1/26/2011
B
Georgia 12/19/2002
B
South Carolina 2/7/2018
B
Hawaii 6/4/2021
B
South Dakota 8/8/2024
B
Idaho 2/28/2013
B
Tennessee 11/8/2013
B
Illinois 2/6/2020
B
Texas 12/19/2002
B
Indiana 7/19/2007
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Texas 12/19/2002
B
Iowa 3/22/2022
B
Utah 11/18/2013
B
Maine 12/19/2002
B
Vermont 4/15/2004
B
Maryland 2/2/2010
B
Virginia 12/19/2002
B
Massachusetts 9/12/2000
B
Washington 11/1/2005
B
Minnesota 5/25/2004
B
West Virginia 7/13/2020
B
Nebraska 2/3/2022
B
Wisconsin 9/9/2015
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 12/19/2002
B
Registered with this firm since 9/12/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/23/1999 - 09/06/2000 | BOSTON, MA | |
B | 01/15/1994 - 09/06/2000 | SMITHFIELD, RI | |
B | 06/15/1993 - 01/25/1994 | BOSTON, MA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.