Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tricia? Claim Your ProfileTricia McCaffrey is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Tricia has been in the financial services industry since 2008 and is registered to offer securities and investment advice in 43 states and territories. Before joining Merrill Lynch, Tricia was previously employed at Jefferies LLC and Morgan Stanley Smith Barney. Tricia is a Series 7 and Series 66 licensed representative.
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
IL
03/13/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
03/27/2012 - 03/12/2015
JEFFERIES LLC (CHICAGO IL)
IL
06/01/2009 - 03/28/2012
MORGAN STANLEY SMITH BARNEY (CHICAGO IL)
IL
02/10/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHICAGO IL)
CA
02/28/2008 - 02/03/2009
LINCOLN FINANCIAL ADVISORS CORPORATION (LAJOLLA CA)
BOTH
Issued 04/03/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2008
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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