Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Courtney? Claim Your ProfileCourtney McCarthy is an active registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Courtney has over 13 years of experience in the financial services industry. Courtney is registered in 53 states, including New York, New Jersey, Rhode Island and Texas. Courtney has a wide range of experience, including financial planning, portfolio management, and investment advisory services. Courtney is also a registered principal and holds the Series 3, 7, 9, 10 and 66 licenses. Courtney has a proven track record of success in helping clients achieve their financial goals.
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
NY
01/17/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
08/11/2010 - 12/12/2018
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
BOTH
Issued 09/22/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/07/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/25/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2016
Series 3 - National Commodity Futures Examination
BC
Issued 08/10/2010
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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