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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 Stifel, Nicolaus & Company, Inc.. John McCarthy has been working in the financial services industry since 1988. John McCarthy holds several licenses, including Series 6, 7, 9, 10, 63, and 65. John McCarthy has been registered with Stifel, Nicolaus & Company, Inc. since 2011 and previously worked at STONE & YOUNGBERG LLC, UBOC INVESTMENT SERVICES, INC., BANCAL INVESTMENT SERVICES, INC., INVEST FINANCIAL CORPORATION, and PUTNAM FINANCIAL SERVICES, INC..
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
01/24/2012 - Present
Stifel, Nicolaus & Company, Inc. (WALNUT CREEK CA)
CA
07/13/1999 - 11/02/2011
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
CA
04/01/1996 - 07/20/1999
UBOC INVESTMENT SERVICES, INC. (GLENDALE CA)
NA
06/24/1993 - 04/01/1996
BANCAL INVESTMENT SERVICES, INC.
WI
06/01/1989 - 09/13/1991
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
07/20/1988 - 05/20/1989
PUTNAM FINANCIAL SERVICES, INC.
IA
Issued 03/22/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/01/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/07/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/23/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1989
Series 7 - General Securities Representative Examination
BC
Issued 07/19/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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