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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Teresa? Claim Your ProfileTeresa McCarty is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 29 years of experience in the industry. Teresa has a wide range of licenses and registrations, including Series 63, 66, 7, 8, 9, 10, 31, and SIE. Teresa is registered to provide investment advice in 38 states. She has a strong background in various financial products and services, including securities, futures, and managed funds. Teresa currently holds a principal license and is a registered representative with Merrill Lynch. She offers a comprehensive suite of financial planning, investment management, and advisory services to a diverse clientele, including individuals, corporations, pension plans, and charitable organizations.
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
SC
08/31/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HILTON HEAD ISLAND SC)
SC
10/01/1999 - 04/17/2009
WACHOVIA SECURITIES, LLC (HILTON HEAD SC)
NC
05/03/1995 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
GA
06/15/1994 - 04/26/1995
THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)
BOTH
Issued 05/25/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/23/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 06/14/1994
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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