Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McCarthy is a financial advisor with over 20 years of experience in the financial services industry. James has a broad range of experience, having worked with various firms including Wells Fargo Advisors, A. G. Edwards & Sons, Inc., and TD Ameritrade. James currently is registered as a representative with Charles Schwab & Co., Inc., and provides financial planning and advisory services to individual investors.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
MO
03/08/2022 - Present
Charles Schwab & CO., Inc. (St Louis MO)
MO
02/26/2018 - 03/08/2022
TD AMERITRADE, INC. (ST. LOUIS MO)
MO
01/09/2015 - 02/26/2018
SCOTTRADE, INC. (ST LOUIS MO)
MO
08/21/2013 - 10/03/2013
NYLIFE SECURITIES LLC (CHESTERFIELD MO)
MO
10/06/2009 - 03/01/2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
01/01/2008 - 03/01/2012
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
TX
07/19/2010 - 10/05/2011
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
CA
06/04/2010 - 01/06/2011
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MO
10/19/1999 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NJ
04/05/1990 - 11/02/1990
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 01/24/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/07/2018
Series 24 - General Securities Principal Examination
BC
Issued 06/02/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 02/27/2004
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 10/18/1999
Series 7 - General Securities Representative Examination
BC
Issued 03/05/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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