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 has been in the financial industry since 1983. James McCarthy is a registered representative of LPL Financial LLC and holds the Series 7, Series 24, Series 26, Series 51 and Series 63 securities licenses. James McCarthy is also a Registered Principal of LPL Financial LLC. James McCarthy has a vast array of experience with previous employers including National Planning Corporation, SunAmerica Securities, Inc., Anchor National Financial Services, Inc., American Inland and Dean Witter Reynolds Inc.. James McCarthy is currently located at 4433 W. TOUHY AVE, STE 602 in LINCOLNWOOD, IL.
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.
1
2
IL
11/29/2017 - Present
LPL Financial LLC (LINCOLNWOOD IL)
IL
06/14/1999 - 11/29/2017
NATIONAL PLANNING CORPORATION (CHICAGO IL)
AZ
05/19/1992 - 06/17/1999
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
05/01/1985 - 05/19/1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
NA
06/18/1985 - 03/31/1986
AMERICAN INLAND
NA
03/23/1983 - 04/15/1985
DEAN WITTER REYNOLDS INC.
BC
Issued 03/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 07/24/1985
Series 24 - General Securities Principal Examination
BC
Issued 04/24/1985
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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