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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 27 years of experience in the financial industry. James McCarthy is registered with Wells Fargo Advisors Financial Network, LLC in both Maryland and New Jersey. James McCarthy's previous employers include WELLS FARGO CLEARING SERVICES, LLC and H&R BLOCK FINANCIAL ADVISORS, INC.. James McCarthy has obtained various licenses and certifications including Series 3, 7, 8, 9, 10, 31, 52, 63, and 65. James McCarthy has a diverse background in financial services, including experience in securities, investments, and advisory services.
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.
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.
Investment consulting services to institutional clients
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
MD
03/15/2024 - Present
Wells Fargo Advisors Financial Network, LLC (BETHESDA MD)
NJ
05/15/2001 - 03/15/2024
WELLS FARGO CLEARING SERVICES, LLC (RED BANK NJ)
MI
07/31/1996 - 05/14/2001
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
IA
Issued 10/27/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/16/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 12/17/1996
Series 7 - General Securities Representative Examination
BC
Issued 07/30/1996
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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