Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul McCarthy is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. He has been in the securities industry since 1993. Paul is licensed to offer securities in 38 states and 2 jurisdictions in the United States. He has earned both Series 6 and 63 licenses as well as Series 7, 8, 31, and 55 licenses. He is also a licensed Investment Advisor Representative in the State of Connecticut. Paul is experienced in the investment industry and has extensive experience in portfolio management. Previous firms employed include National Financial Services LLC, Fidelity Brokerage Services LLC, and Pioneer Funds Distributor, Inc.
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
12/19/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WELLESLEY HILLS MA)
MA
07/23/1999 - 09/06/2000
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
RI
01/15/1994 - 09/06/2000
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
MA
06/15/1993 - 01/25/1994
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
BOTH
Issued 09/28/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/21/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/22/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/07/1993
Series 7 - General Securities Representative Examination
BC
Issued 06/14/1993
Series 6 - Investment Company Products/Variable Contracts 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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