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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett John McCarthy is a financial advisor with over 20 years of experience in the industry. Brett has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 1999 and has held several positions at the firm over the years. Brett is currently based in Naples, FL and is licensed to provide investment advice in numerous states. Brett has a proven track record of providing high-quality financial advice to individuals, families, and businesses. Brett is dedicated to helping clients achieve their financial goals and is committed to providing personalized service.
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
FL
06/08/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NAPLES FL)
NC
10/31/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DAVIDSON NC)
NC
12/06/2004 - 11/04/2008
WACHOVIA SECURITIES, LLC (STATESVILLE NC)
NY
11/08/1999 - 12/07/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/05/2002
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/09/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/30/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/12/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2016
Series 31 - Futures Managed Funds Examination
BC
Issued 11/05/1999
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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