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Joseph P. McCarthy

Pershing LLC

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About Joseph P. McCarthy

Joseph P. McCarthy is a financial professional with over 16 years of experience in the securities industry. Joseph P. McCarthy is currently registered with Pershing LLC, and holds licenses in both New Jersey and New York. Joseph P. McCarthy has passed several industry exams, including the Series 63, 7, 24 and SIE, demonstrating his knowledge and understanding of financial markets. Joseph P. McCarthy is a dedicated financial professional with a commitment to providing quality service to his clients.

Firm Information

Joseph McCarthy is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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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Joseph McCarthy’s Registration & Firm History

NJ

08/02/2007 - Present

Pershing LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 09/20/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/11/2009

Series 24 - General Securities Principal Examination

BC

Issued 07/28/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/01/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joseph P. McCarthy.
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