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Daniel Patrick McCarthy

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Riverside, RICRD #4080766Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
26 yrs
States Registered
2 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
MassachusettsRhode Island
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/14/2000
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/29/2000
Series 53
Municipal Securities Principal Examination
Passed 10/6/2009
Series 24
General Securities Principal Examination
Passed 6/16/2005
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 8/7/2001
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 6/30/2001
Series 4
Registered Options Principal Examination
Passed 1/8/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/23/2009Riverside, RI
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/23/2009Attleboro, MA
BANC OF AMERICA INVESTMENT SERVICES, INC.
10/20/200410/23/2009Lincoln, RI
QUICK & REILLY, INC.
8/27/200210/20/2004Lincoln, RI

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel Patrick McCarthy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Daniel Patrick McCarthy - Financial Advisor in Riverside, RI | AdvisorFinder