Michael McCarthyCRD Number: 3127784
Current Firm: Lpl Financial LLC
Michael McCarthy (CRD# 3127784) is an Investment Advisor Representative working at Lpl Financial LLC in Oxford, MA and has over 17 years of experience in the finance industry.
Signator Investors, Inc.
Oppenheimer & Company Inc.
Newman Dignan & Sheerar, Inc.
|Lpl Financial LLC||Oxford, MA||Sep 2013 - Current||3|
|Ubs Financial Services Inc.||Worcester, MA||Feb 2009 - Sep 2013||4|
|Citigroup Global Markets Inc.||Worcester, MA||Feb 2006 - Feb 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1999|
|S66||NASAA Uniform Combined State Law Examination||May 2005|
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
Total Assets Under Management112,086MILLIONS
Total Number of Accounts531,091ACCOUNTS
Average Account Value$211,049
- 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, MA, 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