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Thomas Mccarthy

Oppenheimer & CO. INC.
43 Years of Experience
Southbury, CT
1 DisclosureBroker
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Thomas Mccarthy is a registered investment advisor at Oppenheimer & CO. INC., based in Southbury, CT, with 43 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

466 Heritage Road, Southbury, CT, 06488

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2018
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
March 2006 - Present · 20 yrs 7 mos
Oppenheimer & CO. INC.Broker
April 1988 - Present · 38 yrs 6 mos
Oppenheimer & CO. INC.
April 1988 - Present · 38 yrs 6 mos
Previous Registrations
Fahnestock & CO. INC.Broker
February 1988 - April 1988 · 2 mos
Moseley Securities CorporationBroker
August 1984 - February 1988 · 3 yrs 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
December 1982 - August 1984 · 1 yr 8 mos
State Registrations16 states
CACOCTFLLAMAMINCNJNVNYRISCTNTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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