Timothy P. Mccarthy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Patrick Mccarthy was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2019 - January 25, 2023
CHARLES SCHWAB & CO., INC.
November 20, 2008 - August 5, 2009
SECURIAN FINANCIAL SERVICES, INC.
February 22, 2006 - November 20, 2007
GENEOS WEALTH MANAGEMENT, INC.
February 22, 2006 - November 20, 2007
GENEOS WEALTH MANAGEMENT, INC.
April 4, 2002 - December 16, 2005
VALMARK ADVISERS, INC.
January 31, 2002 - December 16, 2005
VALMARK SECURITIES, INC.
August 17, 2001 - February 8, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 17, 2001 - February 8, 2002
OSAIC FA, INC.
November 29, 1996 - October 6, 1999
SLD AMERICA EQUITIES, INC.
September 24, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 24, 1991 - February 2, 1996
PRUCO SECURITIES, LLC.
October 6, 1988 - November 14, 1989
MARQUETTE FINANCIAL SERVICES, INC.
July 25, 1986 - September 19, 1988
MORISON SECURITIES, INC.
October 24, 1985 - July 30, 1986
MARCHE' SECURITIES, INC.
March 1, 1985 - September 25, 1985
MORISON SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/18/2019
General Securities Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
