Barbara A. Mccarthy

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CRD#: 2886177

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.

Barbara Anne Mccarthy, who also goes by Barbara Anne Gillis, Barbara Anne Ritchie, was a registered financial professional .

Barbara is a previously registered financial professional and started their career in finance in 1997. Barbara had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Barbara Anne Gillis | Barbara Anne Ritchie

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 23, 2011 - May 30, 2025

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

PHOENIX, AZ

Past

September 15, 2010 - January 3, 2011

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

SUN CITY WEST, AZ

Past

August 16, 2010 - January 3, 2011

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

SUN CITY WEST, AZ

Past

October 4, 2007 - March 5, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

PHOENIX, AZ

Past

February 5, 2007 - May 14, 2007

ASSOCIATED SECURITIES CORP.

CRD#: 12969

PEORIA, AZ

Past

January 6, 1999 - November 17, 2006

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

May 8, 1997 - April 21, 1998

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/14/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/6/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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.

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Advisor Monitoring

Firm Stability Insights

Barbara A. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

RBC CAPITAL MARKETS, LLC

ASSOCIATED SECURITIES CORP.

VANGUARD MARKETING CORPORATION

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2010

Series 63

Date: 5/8/1997

Series 7

Date: 10/1/2008

Series 6

Date: 5/6/1997

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

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