BM
Brendan J. Mccarthy
NUVEEN SECURITIES
SAN FRANCISCO, CA 94105
Some features on this profile are disabled
CRD#: 4962469
BM
Professional summary
Brendan Joseph Mccarthy, who also goes by Brendan J. Mccarthy, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in San Francisco, California.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 2007. Brendan has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brendan J. Mccarthy
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.
CRS (Client Relationship Summary) - BD
Click below to view Brendan Joseph Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 6, 2016 - Present
NUVEEN SECURITIES, LLC
Office #1: 560 Mission Street, San Francisco, CA 94105BD
CRD#: 469
SAN FRANCISCO, CA
Past
October 14, 2010 - August 24, 2015
F-SQUARED INVESTMENTS, INC
RIA
CRD#: 146673
WELLESLEY, MA
Past
September 26, 2007 - March 2, 2009
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
ANDOVER, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/19/2016)
RR
Alaska(9/19/2016)
RR
Arizona(9/29/2016)
RR
Arkansas(9/19/2016)
RR
California(9/19/2016)
RR
Colorado(8/8/2016)
RR
Connecticut(8/9/2016)
RR
Delaware(9/19/2016)
RR
District of Columbia(8/8/2016)
RR
Florida(8/8/2016)
RR
Georgia(9/19/2016)
RR
Hawaii(9/19/2016)
RR
Idaho(8/8/2016)
RR
Illinois(8/10/2016)
RR
Indiana(9/19/2016)
RR
Iowa(9/19/2016)
RR
Kansas(9/19/2016)
RR
Kentucky(9/19/2016)
RR
Louisiana(8/8/2016)
RR
Maine(8/10/2016)
RR
Maryland(8/8/2016)
RR
Massachusetts(9/19/2016)
RR
Michigan(9/19/2016)
RR
Minnesota(9/19/2016)
RR
Mississippi(9/19/2016)
RR
Missouri(8/11/2016)
RR
Montana(9/19/2016)
RR
Nebraska(9/19/2016)
RR
Nevada(9/19/2016)
RR
New Hampshire(9/19/2016)
RR
New Jersey(9/19/2016)
RR
New Mexico(9/19/2016)
RR
New York(9/19/2016)
RR
North Carolina(9/19/2016)
RR
North Dakota(9/19/2016)
RR
Ohio(8/8/2016)
RR
Oklahoma(9/19/2016)
RR
Oregon(9/19/2016)
RR
Pennsylvania(9/19/2016)
RR
Puerto Rico(8/8/2016)
RR
Rhode Island(9/19/2016)
RR
South Carolina(9/19/2016)
RR
South Dakota(9/19/2016)
RR
Tennessee(9/19/2016)
RR
Texas(9/19/2016)
RR
Utah(9/19/2016)
RR
Vermont(9/19/2016)
RR
Virgin Islands(9/19/2016)
RR
Virginia(9/19/2016)
RR
Washington(9/19/2016)
RR
West Virginia(9/19/2016)
RR
Wisconsin(9/19/2016)
RR
Wyoming(9/19/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS
CRD#: 469 / SEC#: , 8-13464
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
