Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steve? Claim Your ProfileSteve McCarthy is a financial advisor with over 20 years of experience. Steve is a Certified Financial Planner™ and holds the Series 7, 9, 10, 63 and 66 licenses. Steve is currently registered with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc. Steve's previous experience includes roles at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, E*TRADE SECURITIES LLC, U.S. BANCORP INVESTMENTS, INC. and CHARLES SCHWAB & CO., INC.. Steve specializes in providing financial planning, portfolio management, and investment advice to individuals, families, and businesses. Steve is committed to helping clients achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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
CO
01/06/2020 - Present
Raymond James & Associates, Inc. (Denver CO)
NY
10/07/2005 - 09/10/2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
NJ
08/31/2004 - 08/31/2005
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
MN
12/11/2003 - 06/28/2004
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
TX
06/05/1998 - 04/25/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 09/15/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/15/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/17/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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