Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vincent? Claim Your ProfileVincent McCarty is a financial advisor with over 40 years of experience in the industry. Vincent is registered with LPL Financial LLC and provides a variety of services including financial planning, portfolio management, and consulting. Vincent's previous firms include First Union Securities, Inc., Principal Financial Securities, Inc., Smith Barney Inc., Lehman Brothers Inc., Peavey Securities, Inc., and R. G. Dickinson & Co. Vincent holds Series 63, 65, 7, 1 and SIE licenses.
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.
Consulting and other non-discretionary advisory services
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
IA
04/26/2002 - Present
LPL Financial LLC (WEST DES MOINES IA)
MO
05/11/1998 - 05/01/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
TX
08/04/1995 - 05/11/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NY
07/31/1993 - 08/14/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
12/08/1980 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/12/1979 - 01/01/1981
PEAVEY SECURITIES, INC.
NA
07/09/1974 - 12/02/1979
R. G. DICKINSON & CO.
IA
Issued 02/16/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/15/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1981
PC - AMEX Put and Call Exam
BC
Issued 01/17/1981
Series 7 - General Securities Representative Examination
BC
Issued 07/03/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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