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Tricia L McCaffrey
Trish L McCaffrey, PATRICIA LYN YOUMANS, TRICIA L YOUMANS, TRICIA LYN YOUMANS, TRISH YOUMANS
CRD#: 5267254
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - 2015 (3 years)2 FIRMS2015 - Present (9 years)BLINCOLN FINANCIAL ADVISORS COR... (CRD# 3978)2008 - 2009 (1 year)
License(s)

State Registrations

B
Arizona 3/13/2015

B
Nevada 3/13/2015

B
Arkansas 3/13/2015

B
New Hampshire 3/13/2015

B
California 3/13/2015

B
New Jersey 3/13/2015

B
Colorado 3/13/2015

B
New Mexico 3/13/2015

B
Connecticut 3/13/2015

B
New York 3/13/2015

B
Delaware 3/13/2015

B
North Carolina 3/13/2015

B
District of Columbia 3/13/2015

B
Ohio 3/13/2015

B
Florida 3/13/2015

B
Oregon 3/16/2015

B
Georgia 3/13/2015

B
Pennsylvania 3/13/2015

B
Illinois 3/12/2015

B
Rhode Island 3/13/2015

IA
Illinois 3/12/2015

B
South Carolina 3/13/2015

B
Indiana 3/13/2015

B
Tennessee 3/13/2015

B
Kansas 3/13/2015

B
Texas 3/13/2015

B
Kentucky 4/19/2018

IA
Texas 3/13/2015

B
Louisiana 3/13/2015

B
Utah 3/13/2015

B
Maine 3/13/2015

B
Vermont 8/14/2018

B
Maryland 3/13/2015

B
Virginia 3/13/2015

B
Massachusetts 3/13/2015

B
Washington 3/13/2015

B
Michigan 3/13/2015

B
West Virginia 3/13/2015

B
Minnesota 3/13/2015

B
Wisconsin 3/13/2015

B
Missouri 1/20/2021

B
Wyoming 4/19/2018

B
Nebraska 3/13/2015

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)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 3/12/2015

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 3/12/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/27/2012 - 03/12/2015 JEFFERIES INVESTMENT ADVISERS, LLC (CRD#:121767) CHICAGO, IL
B
03/27/2012 - 03/12/2015 JEFFERIES LLC (CRD#:2347) CHICAGO, IL
IA
06/01/2009 - 03/28/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) CHICAGO, IL
B
06/01/2009 - 03/28/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) CHICAGO, IL
IA
04/06/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHICAGO, IL
B
02/10/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHICAGO, IL
B
02/28/2008 - 02/03/2009 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) LAJOLLA, CA
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B
Broker
IA
Investment Adviser
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.