Timothy J. Mccarthy
Professional summary
Timothy John Mccarthy, who also goes by Tim Mccarthy, Timothy Mccarthy, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Miami, Florida.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2006. Timothy has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy John Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2020 - Present
PIMCO INVESTMENTS LLC
Office #1: 600 Brickell Avenue 21st Floor, Miami, FL 33131September 1, 2011 - January 24, 2020
NUVEEN ASSET MANAGEMENT, LLC
July 2, 2010 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
April 16, 2010 - January 22, 2020
NUVEEN SECURITIES, LLC
November 15, 2006 - April 12, 2010
INVESCO CAPITAL MARKETS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/17/2020)
(1/17/2020)
(1/3/2022)
(1/17/2020)
Exams
FINRA
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
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Company Information
PIMCO INVESTMENTS LLC
CRD#: 154957Miami, FL 33131TRUST BUT VERIFY
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