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James Francis McCarthy

Pruco Securities, LLC

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About James Francis McCarthy

James McCarthy is a financial advisor with Pruco Securities, LLC. James has been in the industry since 2007 and has a strong track record of success. James has a wide range of experience in providing financial advice to individuals, families, and businesses. James is a Series 6, 7, 24, 26, 63 and 66 licensed financial advisor. James holds registrations in 49 states and the District of Columbia. In addition, James is registered as an investment advisor representative in North Carolina, Pennsylvania, and South Carolina. James is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

James McCarthy is currently registered with Pruco Securities, LLC. Pruco Securities, LLC is a Limited Liability Company formed in 2003 and headquartered in Newark, NJ. The firm provides investment advisory services including selection of other advisers. They primarily serve high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, and trust and estate accounts. Pruco Securities, LLC is registered with the SEC and all 50 states and has over 113,000 accounts under management.
Pruco Securities, LLC

751 BROAD STREET

NEWARK, NJ 07102-3777

$16.38B

Assets Under Management

2,286

Total Clients

3,605

Total Financial Advisors

Services Offered

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.

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selection of other advisors

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Fee Structure

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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other

Compensation from lpl enterprise, llc

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James McCarthy’s Registration & Firm History

PA

08/06/2019 - Present

Pruco Securities, LLC (Warrington PA)

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Licenses & Designations

BC

Issued 07/16/2007

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 08/16/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/27/2019

Series 24 - General Securities Principal Examination

BC

Issued 11/29/2008

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/03/2013

Series 7 - General Securities Representative Examination

BC

Issued 07/03/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 12 public disclosures for James Francis McCarthy. Review regulatory record here.
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