Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter McCarthy is a financial advisor with over 25 years of experience in the industry. Peter is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Peter is a Series 7, 9, 10, 24, 3, 4, 63 and 65 licensed representative. Peter has previously worked with Wells Fargo Clearing Services, LLC, Credit Suisse Securities (USA) LLC, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Peter specializes in providing portfolio management for businesses and individuals. Peter also offers other advisory services, such as performance measurement reports, allocation modeling, IPS, research reports and services, selection of other advisors, and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
04/14/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NORTHBROOK IL)
IL
08/31/2022 - 03/02/2023
WELLS FARGO CLEARING SERVICES, LLC (CHICAGO IL)
IL
02/17/2016 - 12/24/2019
WELLS FARGO CLEARING SERVICES, LLC (CHICAGO IL)
IL
05/06/2008 - 02/25/2016
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
IL
04/02/2007 - 04/29/2008
MORGAN STANLEY & CO. INCORPORATED (CHICAGO IL)
IL
07/30/2004 - 04/02/2007
MORGAN STANLEY DW INC. (CHICAGO IL)
MO
02/14/2002 - 08/04/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NE
12/22/1998 - 08/15/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
IL
11/13/1996 - 10/14/1998
JOHN DAWSON & ASSOCIATES, INC. (CHICAGO IL)
NY
07/29/1994 - 12/02/1994
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NA
07/22/1994 - 08/09/1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
BC
Issued 09/06/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/18/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/14/2009
Series 4 - Registered Options Principal Examination
BC
Issued 02/09/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/11/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/16/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2012
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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