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Annu McCarthy

Wells Fargo Clearing Services, LLC

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About Annu McCarthy

Annu McCarthy is a financial advisor with Wells Fargo Clearing Services, LLC, working in the SUMMIT, NJ office. Annu has been working in the financial industry since 2002. Annu holds a Series 7, Series 66, and Series 24 license. Annu has also worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, LPL Financial LLC, and Pruco Securities, LLC.

Firm Information

Annu McCarthy is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Annu McCarthy’s Registration & Firm History

NJ

05/26/2022 - Present

Wells Fargo Clearing Services, LLC (SUMMIT NJ)

NJ

01/08/2019 - 05/26/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)

NJ

11/13/2014 - 11/02/2018

LPL FINANCIAL LLC (LEBANON NJ)

NJ

04/03/2012 - 10/28/2014

PRUCO SECURITIES, LLC. (ISELIN NJ)

NJ

06/01/2009 - 02/16/2012

MORGAN STANLEY SMITH BARNEY (SHORT HILLS NJ)

NJ

10/20/2008 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (WARREN NJ)

NJ

04/08/2005 - 09/30/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)

MO

08/25/2003 - 03/31/2005

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

NA

10/04/1993 - 12/23/1994

SMITH BARNEY INC.

NA

04/21/1993 - 06/02/1993

NOMURA SECURITIES INTERNATIONAL, INC.

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Licenses & Designations

BOTH

Issued 12/14/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/07/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/20/2013

Series 24 - General Securities Principal Examination

BC

Issued 02/23/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/03/2008

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/21/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Annu McCarthy.
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