Peter Mccarthy

CRD 2456226 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Northbrook, IL

IA RegisteredBroker

Also appears in the source record as: Peter Michael Mccarthy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 63Series 65Series 4Series 24Series 10Series 9SIESeries 3Series 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (18)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Northbrook, IL · IA capacity

Apr 6, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Northbrook, IL · BC capacity

start not retrieved → present
Brentview Investment Management, LLC
IA capacity

Aug 24, 2020 → Apr 11, 2023
Wells Fargo Clearing Services, LLC
BD capacity

Aug 31, 2022 → Mar 2, 2023
Wells Fargo Clearing Services, LLC
IA capacity

Aug 9, 2022 → Mar 2, 2023
Wells Fargo Clearing Services, LLC
BD capacity

Feb 17, 2016 → Dec 24, 2019
Wells Fargo Clearing Services, LLC
IA capacity

Feb 17, 2016 → Dec 24, 2019
Credit Suisse Securities (USA) LLC
BD capacity

May 6, 2008 → Feb 25, 2016
Credit Suisse Securities (USA) LLC
IA capacity

May 1, 2008 → Feb 25, 2016
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Apr 29, 2008
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Apr 29, 2008
Morgan Stanley
IA capacity

Mar 21, 2005 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Jul 30, 2004 → Apr 2, 2007
Wachovia Securities, LLC
BD capacity

Feb 14, 2002 → Aug 4, 2004
Td Waterhouse Investor Services, Inc.
BD capacity

Dec 22, 1998 → Aug 15, 2001
John Dawson & Associates, Inc.
BD capacity

Nov 13, 1996 → Oct 14, 1998
Josephthal Lyon & Ross Incorporated
BD capacity

Jul 29, 1994 → Dec 2, 1994
Mathews, Holmquist & Associates, Inc.
BD capacity

Jul 22, 1994 → Aug 9, 1994

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2456226 ↗ FINRA BrokerCheck record for CRD 2456226 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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