Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Phillip McCarthy has been in the financial services industry since April 1997. Brian is currently registered with Vanguard Marketing Corp. in North Carolina. Brian has been with Vanguard Marketing Corp. since January 2015. Brian previously worked at AMERICAN EXPRESS FINANCIAL ADVISORS INC. and IDS LIFE INSURANCE COMPANY in Minnesota. Brian holds FINRA Series 4, 7, 24, 63, 99TO, and SIE licenses.
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.
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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NC
12/20/1997 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
MN
05/22/1996 - 01/24/1997
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/22/1996 - 01/24/1997
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 11/05/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2000
Series 4 - Registered Options Principal Examination
BC
Issued 04/04/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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