Thomas Mccarthy
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
14 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
14 years in the industry.
- Bank of America, N.A.Oct 2023 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 2023 to now
- Sanford C BernsteinMar 2022 to Sep 2023
- Csm Capital CorporationJun 2021 to Feb 2022
- Full-time EducationSep 2020 to May 2021
- Usc Investment OfficeJun 2020 to Aug 2020
- Full-time EducationApr 2020 to May 2020
- Bank of AmericaJan 2020 to Mar 2020
- Full-time EducationSep 2019 to Dec 2019
- Marex SpectronJun 2019 to Aug 2019
- Full-time EducationSep 2018 to May 2019
- Excel Partners Holdings LLCJun 2018 to Aug 2018
- Full-time EducationJan 2012 to May 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2022
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 2 states (NY, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7215083
- Firm CRD
- 7691