Patrick McCartyCRD Number: 1943287
Current Firm: Axa Advisors, LLC
Patrick McCarty (CRD# 1943287) is an Investment Advisor Representative working at Axa Advisors, LLC in Orlando, FL and has over 28 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Axa Advisors, LLC||New York, NY||Sep 1999 - Current||18|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Jun 1999|
|S63||Uniform Securities State Law Examination||May 1989|
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:
- Customer Dispute
- Criminal Record
Total Assets Under Management9,867MILLIONS
Total Number of Accounts40,093ACCOUNTS
Average Account Value$246,096
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV