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 at Piper Sandler & Co. with over 25 years of experience in the financial services industry. James has held various roles at different firms throughout his career, including Northeast Securities, Inc., Hefren-Tillotson, Inc., Commerce Capital Markets, Inc., PNC Brokerage Corp., and American Express Financial Advisors Inc. James specializes in providing advisory services and portfolio management.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
PA
02/09/2011 - Present
Piper Sandler & Co. (PITTSBURGH PA)
PA
11/01/2004 - 03/01/2011
NORTHEAST SECURITIES, INC. (PITTSBURGH PA)
PA
04/20/2000 - 11/01/2004
HEFREN-TILLOTSON, INC. (PITTSBURGH PA)
PA
10/29/1997 - 04/11/2000
COMMERCE CAPITAL MARKETS, INC. (PHILADELPHIA PA)
PA
12/21/1995 - 02/20/1997
PNC BROKERAGE CORP (PITTSBURGH PA)
MN
07/26/1994 - 10/14/1994
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
IA
Issued 04/04/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/24/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/22/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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