Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert John McCarthy is a financial advisor with over 30 years of experience in the industry. Robert has been with Wells Fargo Clearing Services, LLC since 2005 and has held various roles including Compliance Officer. Previously, Robert worked at Ferris, Baker Watts Incorporated, Baker, Watts & Co., Inc., Olde Discount Corporation, and First Jersey Securities, Inc. Robert holds Series 4, 7, 8, 14, and 63 licenses. Robert specializes in providing financial planning, investment consulting, portfolio management for businesses and individuals.
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
MO
04/12/2005 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MD
10/24/1988 - 12/23/1999
FERRIS, BAKER WATTS INCORPORATED (BALTIMORE MD)
NA
05/01/1987 - 10/24/1988
BAKER, WATTS & CO., INC.
NA
05/16/1986 - 05/11/1987
OLDE DISCOUNT CORPORATION
NA
03/19/1985 - 10/25/1985
FIRST JERSEY SECURITIES, INC.
BC
Issued 03/28/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/08/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 08/27/1993
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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