Timothy D. Mccarthy
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.
Timothy Downey Mccarthy, who also goes by Tim Mccarthy, Timothy D Mccarthy, Timothy Mccarthy, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1980. Timothy had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2015 - July 14, 2016
PNC WEALTH MANAGEMENT LLC
August 13, 2015 - July 14, 2016
PNC WEALTH MANAGEMENT LLC
June 19, 2014 - July 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 27, 2014 - July 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 26, 2012 - February 8, 2013
MORGAN STANLEY
March 6, 2012 - February 8, 2013
MORGAN STANLEY
November 8, 2011 - February 8, 2012
CHASE INVESTMENT SERVICES CORP.
January 6, 2010 - March 19, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
May 27, 2009 - January 7, 2010
C. L. KING & ASSOCIATES, INC.
September 26, 2008 - March 30, 2009
SOUND SECURITIES, LLC
June 27, 2003 - August 26, 2008
CREDIT AGRICOLE SECURITIES (USA) INC.
February 12, 2001 - June 23, 2003
RBC CAPITAL MARKETS, LLC
May 11, 1999 - February 5, 2001
NEEDHAM & COMPANY, LLC
June 2, 1993 - April 20, 1999
BMO CAPITAL MARKETS CORP.
August 19, 1992 - May 28, 1993
VALUE INVESTING PARTNERS, INC.
May 16, 1987 - August 14, 1992
ROTHSCHILD & CO US INC.
August 11, 1986 - May 28, 1987
J.C. BRADFORD & CO.
July 26, 1982 - July 29, 1985
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 26, 1981 - June 10, 1982
HAAS SECURITIES CORPORATION
December 31, 1980 - January 9, 1984
WAGNER, STOTT & CO.
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/28/2005
Limited Representative-Equity Trader ExamCurrent Firm
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
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.
