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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael McCarthy is a financial advisor with over 39 years of experience in the financial services industry. Michael is registered with Wells Fargo Clearing Services, LLC, and is a Series 65 registered Investment Advisor in Texas and Illinois. Michael has a wide range of experience working with individual clients and corporations. Michael is also a Certified Financial Planner and has taught CFP Investment courses for DePaul University for over 20 years.
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.
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.
Investment consulting services to institutional clients
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
IL
05/27/2022 - Present
Wells Fargo Clearing Services, LLC (SCHAUMBURG IL)
TX
09/01/1994 - 05/11/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NA
11/15/1993 - 09/01/1994
HAMILTON INVESTMENTS, INC.
NY
01/30/1990 - 11/13/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
05/23/1988 - 02/21/1990
J. T. MORAN & CO., INC.
NA
02/02/1987 - 06/01/1988
SHERWOOD CAPITAL, INC.
NA
08/24/1983 - 01/31/1987
FIRST JERSEY SECURITIES, INC.
IA
Issued 08/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/18/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/01/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2004
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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