Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas McCarthy is an active investment advisor representative registered in Connecticut. He is also a registered investment advisor. Thomas McCarthy has been in the industry for 40 years, starting his career at Smith Barney, Harris Upham & Co., Incorporated in 1982. His current employment is at Oppenheimer & Co. Inc. where he holds multiple licenses and registrations across various states. Thomas McCarthy specializes in a range of investment advisory services, including portfolio management for individuals, businesses, and pooled investment vehicles.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
12/12/2017 - Present
Oppenheimer & Co. Inc. (SOUTHBURY CT)
NA
02/12/1988 - 04/13/1988
FAHNESTOCK & CO. INC.
NA
08/29/1984 - 02/19/1988
MOSELEY SECURITIES CORPORATION
NA
12/21/1982 - 08/10/1984
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 03/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/08/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Thomas McCarthy is the right advisor for you? Invested Better is here to help.
