Nichole McCarthy, financial advisor Westport CT
81 score

Nichole McCarthy

CRD Number: 4498963
Current Firm: Wells Fargo Clearing Services, LLC

Nichole McCarthy (CRD# 4498963) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Westport, CT and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Clearing Services, LLC Westport, CT Nov 2016 - Current 1
Wells Fargo Advisors LLC Westport, CT Mar 2014 - Nov 2016 2
Morgan Stanley Smith Barney Westport, CT Jun 2009 - Mar 2014 4
Morgan Stanley & Company Incorporated Westport, CT Apr 2008 - Mar 2014 5
Ubs Painewebber Stamford, CT May 2001 - Apr 2008 6
Ubs Financial Services Inc. Stamford, CT Jul 2000 - Apr 2008 7
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 2002
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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Nichole M. McCarthy
Phone Number: 314-875-3000
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    409,716
    MILLIONS
  • Total Number of Accounts
    1,359,521
    ACCOUNTS
  • Average Account Value
    $301,368
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
  • Other
Types of Clients
Registered States

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, WY

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BADGES
81

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