Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Caulfield is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Mary has been in the securities industry for over 15 years. She is a Series 66, Series 7 and SIE licensed individual with a focus on providing advice to individuals, high net worth individuals, corporations or other businesses, pension and profit-sharing plans, insurance companies, charitable organizations, and state or municipal government entities. Mary has experience working with various financial institutions, most recently Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors, LLC. She is committed to providing exceptional client service and building long-lasting relationships.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
01/19/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
04/06/2016 - 12/22/2020
WELLS FARGO CLEARING SERVICES, LLC (BOSTON MA)
BOTH
Issued 11/28/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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