Brian McCarthy, financial advisor Newark NJ
70 score

Brian McCarthy

CRD Number: 5925293
Current Firm: Prudential Investments LLC

Brian McCarthy (CRD# 5925293) is an Investment Advisor Representative working at Prudential Investments LLC in Newark, NJ and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Prudential Investments LLC Newark, NJ Jun 2016 - Current < 1
Prudential Insurance Company Of America Newark, NJ Jun 2016 - Current < 1
Prudential Investment Management Service Newark, NJ Jun 2016 - Current < 1
Navy Federal Brokerage Services, LLC Chesapeake, VA Feb 2016 - Jun 2016 < 1
Navy Federal Financial Group, LLC Chesapeake, VA Feb 2016 - Jun 2016 < 1
Bank Of America, N.a. Norfolk, VA Mar 2013 - Dec 2015 2
Merrill Lynch, Pierce, Fenner And Smith Incorporated Norfolk, VA Jun 2012 - Dec 2015 3
James Madison University Harrisonburg, VA Aug 2008 - May 2012 3
Waypoint Advisors Norfolk, VA Jun 2011 - Jul 2011 < 1
Davenport & Company, LLC Virginia Beach, VA May 2011 - Jun 2011 < 1
Norfolk Academy Norfolk, VA Aug 2000 - May 2008 7
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Brian L. McCarthy
Phone Number: 973-367-6608
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
Types of Clients
Registered States


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