Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Peter McCarthy is a financial advisor with Charles Schwab & CO., Inc. James has been in the industry since 2022 and is registered in 53 states, the District of Columbia, Puerto Rico and the Virgin Islands. James holds the Series 3, Series 7TO, and Series 63 licenses.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral 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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NE
11/03/2023 - Present
Charles Schwab & CO., Inc. (Omaha NE)
NE
10/11/2022 - 11/03/2023
TD AMERITRADE, INC. (OMAHA NE)
BC
Issued 10/19/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/2024
Series 3 - National Commodity Futures Examination
BC
Issued 10/07/2022
Series 7TO - General Securities Representative Examination
BC
Issued 08/09/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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