Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean McCarthy is a financial advisor with over 25 years of experience in the industry. Sean holds a Series 7, 24, 4, 63, and 65 license. Sean is currently registered with Wells Fargo Clearing Services, LLC and previously worked with Capital Analysts, Incorporated and PaineWebber Incorporated. Sean is a specialist in providing investment consulting services to institutional clients, financial planning, pension consulting, and selection of other advisors. Sean is also a portfolio manager 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
AZ
05/24/2021 - Present
Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)
OH
10/03/1995 - 08/26/2002
CAPITAL ANALYSTS, INCORPORATED (CINCINNATI OH)
NJ
08/03/1995 - 10/04/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NJ
09/03/1992 - 06/06/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 09/26/1992
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/22/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1997
Series 4 - Registered Options Principal Examination
BC
Issued 08/29/1996
Series 24 - General Securities Principal Examination
BC
Issued 05/22/2021
Series 7TO - General Securities Representative Examination
BC
Issued 04/10/2021
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/1992
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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