Unclaimed
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 20 years of experience in the industry. Michael is currently registered with LPL Financial LLC in Oxford, MA and Worcester, MA. Michael has previously worked with UBS Financial Services Inc., Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated and PFPC Distributors, Inc. Michael is also licensed in Georgia, Massachusetts, New Hampshire, New York, South Carolina and Washington. Michael holds Series 6, 7, 63 and 66 licenses as well as the SIE exam.
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.
Consulting and other non-discretionary advisory services
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.
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2
MA
09/30/2013 - Present
LPL Financial LLC (OXFORD MA)
MA
02/13/2009 - 10/09/2013
UBS FINANCIAL SERVICES INC. (WORCESTER MA)
NY
02/21/2006 - 03/10/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MD
02/24/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
ME
05/12/1999 - 12/17/2004
PFPC DISTRIBUTORS, INC. (PORTLAND ME)
BOTH
Issued 05/13/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/30/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2005
Series 7 - General Securities Representative Examination
BC
Issued 11/12/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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