John Mccarthy
John Mccarthy is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Walnut Creek, CA, with 35 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA, 94596
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Regulatory History (1)
Customer Dispute
April 2015Other Business Activities
John owns Goldfish Properties, a vacation rental home, since 2010. He spends minimal time on this investment-related activity.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Stone & Youngberg LLC
Stone & Youngberg LLCBroker
Uboc Investment Services, INC.Broker
Bancal Investment Services, INC.Broker
Invest Financial CorporationBroker
Putnam Financial Services, INC.Broker
State Registrations20 states
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.