Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam McCarthy is a financial professional with over 20 years of experience in the securities industry. William is currently registered with Mufg Securities Americas Inc. in Illinois, and holds the following licenses: Series 7, Series 63, Series 65, Series 79, and SIE. William previously worked for ING Financial Markets LLC and Prim Securities, Incorporated.
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.
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.
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2
IL
04/19/2023 - Present
Mufg Securities Americas Inc. (Chicago IL)
NY
08/22/2016 - 09/30/2016
ING FINANCIAL MARKETS LLC (NEW YORK NY)
OH
09/26/2000 - 03/02/2001
PRIM SECURITIES, INCORPORATED (INDEPENDENCE OH)
BC
Issued 05/03/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/14/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 02/14/2023
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2016
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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