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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul J McCauley is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Paul J McCauley has been in the financial services industry since January 14, 1987. Paul J McCauley is registered with the state of Connecticut, Rhode Island and Texas as an investment advisor representative. Paul J McCauley is also registered with the state of Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Utah, Vermont, Virginia, Washington, West Virginia and Wisconsin as a broker. Paul J McCauley's firm, Merrill Lynch, Pierce, Fenner & Smith Inc. is a large firm with over $10 billion - $50 billion in assets under management.
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
07/22/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
CA
02/18/2000 - 08/20/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
NY
10/01/1997 - 02/18/2000
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
02/12/1997 - 10/01/1997
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
NJ
01/28/1995 - 02/25/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
01/15/1987 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 12/17/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 2/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/31/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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