Steven J. 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.
Steven Joseph Mccarthy, who also goes by Steve Mccarthy, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2008 - January 4, 2022
FISHER INVESTMENTS
October 31, 2005 - April 25, 2008
OSAIC SERVICES, INC.
October 31, 2005 - April 25, 2008
OSAIC SERVICES, INC.
January 23, 1999 - October 31, 2005
SUNAMERICA SECURITIES, INC.
June 8, 1998 - October 31, 2005
SUNAMERICA SECURITIES, INC.
May 23, 1994 - June 5, 1998
WAMU INVESTMENTS, INC.
September 30, 1993 - May 14, 1994
IDS LIFE INSURANCE COMPANY
September 30, 1993 - May 14, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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