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Detailed Report
Michael Leahy
Michael Joseph Leahy, Michael Leahy Sr
CRD#: 2834726
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 7 ROSZEL RD
PRINCETON, NJ 08540
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - Present (6 years)BSEI INVESTMENTS DISTRIBUTION CO. (CRD# 10690)2003 - 2004 (<1 year)BGOLDMAN, SACHS & CO. (CRD# 361)2001 - 2002 (1 year)
License(s)

State Registrations

B
Alabama 4/12/2024
B
Nevada 4/12/2024
B
Alaska 4/12/2024
B
New Hampshire 4/12/2024
B
Arizona 4/12/2024
B
New Jersey 3/11/2019
B
Arkansas 4/12/2024
IA
New Jersey 3/12/2019
B
California 4/12/2024
B
New Mexico 4/12/2024
B
Colorado 4/12/2024
B
New York 3/11/2019
B
Connecticut 4/12/2024
B
North Carolina 4/12/2024
B
Delaware 4/12/2024
B
North Dakota 4/12/2024
B
District of Columbia 4/12/2024
B
Ohio 4/14/2024
B
Florida 1/5/2024
B
Oklahoma 4/12/2024
B
Georgia 4/12/2024
B
Oregon 4/12/2024
B
Hawaii 4/12/2024
B
Pennsylvania 3/11/2019
B
Idaho 4/12/2024
IA
Pennsylvania 11/8/2024
B
Illinois 4/12/2024
B
Puerto Rico 4/12/2024
B
Indiana 4/12/2024
B
Rhode Island 4/12/2024
B
Iowa 4/12/2024
B
South Carolina 4/12/2024
B
Kansas 4/12/2024
B
South Dakota 4/12/2024
B
Kentucky 4/12/2024
B
Tennessee 4/12/2024
B
Louisiana 4/12/2024
IA
Texas 6/17/2021
B
Maine 4/12/2024
B
Texas 4/12/2024
B
Maryland 4/12/2024
B
Utah 4/12/2024
B
Massachusetts 4/12/2024
B
Vermont 4/12/2024
B
Michigan 4/12/2024
B
Virgin Islands 4/12/2024
B
Minnesota 4/12/2024
B
Virginia 4/12/2024
B
Mississippi 4/12/2024
B
Washington 4/12/2024
B
Missouri 4/12/2024
B
West Virginia 4/12/2024
B
Montana 4/12/2024
B
Wisconsin 4/12/2024
B
Nebraska 4/12/2024
B
Wyoming 4/12/2024

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)
7 ROSZEL RD, PRINCETON, NJ 08540
Registered with this firm since 3/12/2019
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
7 ROSZEL RD, PRINCETON, NJ 08540
Registered with this firm since 3/11/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/05/2018 - 03/06/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) LAWRENCEVILLE, NJ
B
 12/03/2018 - 03/06/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) LAWRENCEVILLE, NJ
IA
 06/15/2017 - 11/14/2018 EDWARD JONES (CRD#:250) PENNINGTON, NJ
B
 03/16/2017 - 11/14/2018 EDWARD JONES (CRD#:250) PENNINGTON, NJ
B
 03/10/2003 - 02/19/2004 SEI INVESTMENTS DISTRIBUTION CO. (CRD#:10690) OAKS, PA
B
 03/29/2001 - 10/28/2002 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
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.