Brenda S. Mccarthy

CONFIANCE INVESTMENT COUNSEL

Lauderdale By The Sea, FL

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CRD#: 707691

Professional summary

Brenda Shields Mccarthy, who also goes by Brenda Ann Mccarthy, Brenda S Mccarthy, Brenda A Roche, Brenda Ann Roche, Brenda Ann Shields, Brenda Shields, is a registered financial advisor currently at CONFIANCE INVESTMENT COUNSEL, LLC located in Lauderdale By The Sea, Florida.

Brenda is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Brenda has worked at 13 firms and has passed the Series 66, Series 63, Series 55, Series 15, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) - RIA

Click below to view Brenda Shields 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®

None

Experience

Current

June 2, 2010 - Present

CONFIANCE INVESTMENT COUNSEL, LLC

RIA

CRD#: 153222

Lauderdale By The Sea, FL

Past

February 19, 2008 - March 4, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

WELLESLEY, MA

Past

September 17, 2004 - January 4, 2007

MELVIN SECURITIES, L.L.C.

CRD#: 29767

BOSTON, MA

Past

March 4, 2002 - March 13, 2003

FULCRUM GLOBAL PARTNERS LLC

CRD#: 104455

NEW YORK, NY

Past

July 19, 2001 - March 25, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

August 26, 1999 - March 25, 2002

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

April 15, 1993 - July 27, 1999

BOSTON INSTITUTIONAL SERVICES INCORPORATED

CRD#: 5861

BOSTON, MA

Past

May 18, 1992 - March 31, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 11, 1991 - December 21, 1991

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

February 16, 1989 - July 18, 1990

PHOENIX CAPITAL MARKETS, INC.

CRD#: 22909

Past

January 28, 1988 - February 7, 1989

HOMANS, MCGRAW, TRULL, VALEO & CO., INC.

CRD#: 14647

Past

January 6, 1983 - February 6, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

April 25, 1980 - December 7, 1982

TUCKER ANTHONY INCORPORATED

CRD#: 837

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/2/2010)

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: 3/27/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/29/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 5/28/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 15

Date: 2/15/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 8/18/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/6/1997

General Securities Principal Examination

Current Firm

CONFIANCE INVESTMENT COUNSEL, LLC

CONFIANCE INVESTMENT COUNSEL, LLC | VERITAS INVESTMENT COUNSEL, LLC | ISIS INVESTMENT COUNSEL, LLC

CRD#: 153222 / SEC#:

Florida

Registered Investment Advisory firm - (6/26/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/2/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Lauderdale By The Sea, FL

Mailing Address

Phone number

(617) 908-1608

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Brenda S. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brenda Shields Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MELVIN SECURITIES, L.L.C.

FULCRUM GLOBAL PARTNERS LLC

FIDELITY BROKERAGE SERVICES LLC

NATIONAL FINANCIAL SERVICES LLC

BOSTON INSTITUTIONAL SERVICES INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

BIRCHTREE FINANCIAL SERVICES LLC

PHOENIX CAPITAL MARKETS, INC.

HOMANS, MCGRAW, TRULL, VALEO & CO., INC.

UBS FINANCIAL SERVICES INC.

TUCKER ANTHONY INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2008

Series 63

Date: 7/29/1980

Series 55

Date: 5/28/1999

Series 15

Date: 2/15/1984

Series 3

Date: 8/18/1982

Series 7

Date: 4/19/1980

Series 24

Date: 10/6/1997

Current Firm

CONFIANCE INVESTMENT COUNSEL, LLC

Contact information

Documents

Red Flags

Company Information

CONFIANCE INVESTMENT COUNSEL, LLC

TRUST BUT VERIFY

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