Michael P. Mccarthy
Professional summary
Michael Peter Mccarthy, who also goes by Michael P Mccarthy, Michael Mccarthy, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Peter Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355August 19, 2025 - March 30, 2026
ARIN RISK ADVISORS LLC
April 25, 2022 - October 8, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2012 - July 16, 2020
BOENNING & SCATTERGOOD, INC.
November 24, 2009 - May 17, 2012
SESLIA SECURITIES
September 7, 2007 - November 7, 2009
CROWELL, WEEDON & CO.
July 10, 2006 - September 7, 2007
CROWELL, WEEDON & CO.
May 9, 1997 - June 22, 2006
SAL EQUITY TRADING, GP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2026)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/4/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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