Peter James Mccarthy
Professional Summary
Peter James Mccarthy, who also goes by Peter Mccarthy, is a registered financial advisor currently at SALIENT CAPITAL L.P. located in Houston, Texas. Peter is registered as a RR (Registered Representative) and started their career in finance in 2002. Peter has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Peter Mccarthy
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Videos & Posts
This advisor has not added any videos or posts yet.
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OSAIC WEALTH, INC.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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OSAIC WEALTH, INC.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
24 years in the financial services industry
Current & Past Employments
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OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
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Current Firm
SALIENT CAPITAL L.P.
Contact Information
Main Address
10000 Memorial Drive Suite 650, Houston, TX 77024Mailing Address
10000 Memorial Drive Suite 650, Houston, TX 77024Phone Number
(346) 348-0922Established
Texas since 04/03/2002Firm Type
Other Types of Legal FormationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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OSAIC WEALTH, INC.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2002About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Peter James Mccarthy's CRS (Customer Relationship Summary).
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OSAIC WEALTH, INC.
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