Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris McCarthy is a financial advisor with RBC Capital Markets, LLC. Chris has been in the industry since 1999 and has a wealth of experience in the financial services industry. Chris is registered in 47 states and holds multiple FINRA licenses. Prior to joining RBC Capital Markets, LLC, Chris held positions at BOFA SECURITIES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, COWEN AND COMPANY, KAUFMAN BROS., L.P., UBS WARBURG LLC, and PAINEWEBBER INCORPORATED. Chris is committed to providing clients with personalized financial advice and guidance.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NY
11/02/2021 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
05/10/2019 - 11/02/2021
BOFA SECURITIES, INC. (NEW YORK NY)
NY
01/23/2019 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/06/2010 - 10/31/2018
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
05/08/2002 - 04/16/2010
COWEN AND COMPANY (NEW YORK NY)
NY
12/04/2001 - 06/17/2002
KAUFMAN BROS., L.P. (NEW YORK NY)
NY
11/03/2000 - 09/17/2001
UBS WARBURG LLC (NEW YORK NY)
NJ
08/29/1999 - 11/03/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/09/1998 - 10/19/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/25/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/24/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 08/14/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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