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John McCarthy

National Financial Services LLC

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About John McCarthy

John McCarthy is a financial advisor with over 15 years of experience in the industry. John is currently registered with National Financial Services LLC and has previously been employed at Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc. John holds a Series 6, 7, 9, 10, 63, and 66 licenses, demonstrating expertise in a wide range of financial services. John’s strong industry background coupled with a dedication to client satisfaction allows John to help clients achieve their financial goals.

Firm Information

John McCarthy is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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John McCarthy’s Registration & Firm History

MA

10/02/2018 - Present

National Financial Services LLC (BOSTON MA)

NH

07/27/2009 - 06/13/2018

FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)

NH

01/01/2008 - 01/08/2009

FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)

NH

09/10/2007 - 01/01/2008

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MERRIMACK NH)

NH

11/06/2006 - 03/05/2007

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MERRIMACK NH)

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Licenses & Designations

BOTH

Issued 05/25/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/22/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/23/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/28/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/13/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/2013

Series 7 - General Securities Representative Examination

BC

Issued 11/03/2006

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John McCarthy.
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