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 30 years of experience in the industry. James is registered with LPL Financial LLC in both New Hampshire and Florida. James previously held positions at INVEST FINANCIAL CORPORATION, PFIC SECURITIES CORPORATION, FISERV INVESTOR SERVICES, INC., AEGON USA SECURITIES INC. and TRAVELERS EQUITIES SALES, INC. James offers a wide range of financial services, including financial planning, portfolio management, and consulting. James holds the Series 7, 6, 63, 66, and 24 licenses. James is committed to providing his clients with personalized financial advice and helping them 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.
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.
Consulting and other non-discretionary advisory services
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.
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2
NH
02/14/2018 - Present
LPL Financial LLC (NASHUA NH)
NH
04/30/2007 - 02/14/2018
INVEST FINANCIAL CORPORATION (NASHUA NH)
NH
08/17/2005 - 04/30/2007
PFIC SECURITIES CORPORATION (NASHUA NH)
TX
02/18/1998 - 08/17/2005
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
IA
07/20/1990 - 02/18/1998
AEGON USA SECURITIES INC. (CEDAR RAPIDS IA)
CA
06/03/1989 - 07/20/1990
TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)
BOTH
Issued 12/13/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/12/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/15/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/1992
Series 7 - General Securities Representative Examination
BC
Issued 01/09/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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