Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn McCarthy is a financial advisor at Cadaret, Grant & CO., Inc. John has been in the industry since 1992 and holds the following securities licenses: Series 6, 7, 9, 10, 26, 63, and 65. John also has a FINRA registration and is registered in the state of New York. In addition, John has the following designations: John's experience includes previous roles at INVEST FINANCIAL CORPORATION, COMMUNITY INVESTMENT SERVICES, INC., HSBC SECURITIES (USA) INC., CITICORP INVESTMENT SERVICES, HSBC BROKERAGE (USA) INC., M&T SECURITIES, INC., LAUGHLIN GROUP ADVISORS, INC., PRUCO SECURITIES CORPORATION, and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
05/04/2021 - Present
Cadaret, Grant & CO., Inc. (CLIFTON SPRINGS NY)
NY
01/21/2011 - 03/20/2013
INVEST FINANCIAL CORPORATION (CLIFTON SPRINGS NY)
NY
12/18/2006 - 01/27/2011
COMMUNITY INVESTMENT SERVICES, INC. (CANADAIGUA NY)
NY
09/27/2005 - 01/04/2007
HSBC SECURITIES (USA) INC. (ROCHESTER NY)
NY
04/12/2004 - 08/16/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
06/15/1999 - 04/23/2004
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
MD
08/19/1997 - 06/07/1999
M&T SECURITIES, INC. (BALTIMORE MD)
NE
07/16/1996 - 08/26/1997
LAUGHLIN GROUP ADVISORS, INC. (LINCOLN NE)
NJ
04/30/1990 - 07/21/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
04/30/1990 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 10/28/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/28/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/05/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/27/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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