Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael John McCarthy is a financial advisor at Oppenheimer & Co. Inc.. Michael has been in the industry since 1984 and has experience working with a variety of clients, including individuals, corporations, and retirement plans. Michael has a Series 7, 63, 65, 9, 10, 99TO and SIE license and is registered in 27 states. In addition to providing financial planning, Michael is also a registered Investment Advisor in Missouri and Texas.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MO
01/03/2017 - Present
Oppenheimer & Co. Inc. (CAMDENTON MO)
NY
06/15/1992 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
05/09/1989 - 06/26/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/09/1987 - 06/05/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
11/21/1984 - 02/13/1987
R. ROWLAND & CO., INCORPORATED
IA
Issued 04/02/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/25/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/15/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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