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Detailed Report
BRETT JOHN MCCARTHY
CRD#: 4046670
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 9128 STRADA PL
NAPLES, FL 34108
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2008 (3 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2004 (5 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2002 - 2004 (2 years)
License(s)

State Registrations

B
Arizona 1/16/2024
B
New Jersey 7/18/2016
B
California 7/18/2016
B
New York 10/23/2009
B
Connecticut 4/30/2013
B
North Carolina 10/23/2009
B
Florida 10/23/2009
IA
North Carolina 10/23/2009
IA
Florida 6/17/2016
B
Ohio 4/25/2013
B
Georgia 7/18/2013
B
Oregon 12/11/2013
B
Illinois 4/22/2015
B
Pennsylvania 2/20/2025
B
Indiana 10/22/2024
B
South Carolina 10/23/2009
B
Louisiana 6/10/2016
B
Tennessee 2/7/2024
B
Maryland 7/18/2016
IA
Tennessee 3/6/2025
B
Massachusetts 7/18/2016
IA
Texas 6/8/2010
B
Michigan 7/18/2016
B
Texas 2/9/2011
B
Minnesota 1/29/2024
B
Virginia 10/23/2009
B
Missouri 4/30/2013
B
Washington 7/18/2016

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

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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)
9128 STRADA PL, NAPLES, FL 34108
341 COOL SPRINGS BLVD, FRANKLIN, TN 37067
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
9128 STRADA PL, NAPLES, FL 34108
341 COOL SPRINGS BLVD, FRANKLIN, TN 37067
Registered with this firm since 10/23/2009
Previous Registration(s)
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IA
 10/31/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DAVIDSON, NC
B
 10/31/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DAVIDSON, NC
IA
 12/06/2004 - 11/04/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) STATESVILLE, NC
B
 12/06/2004 - 11/04/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) STATESVILLE, NC
IA
 09/25/2002 - 12/07/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) HUNTERSVILLE, NC
B
 11/08/1999 - 12/07/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.