John Mccarthy
John Mccarthy is a registered investment advisor at LPL Financial LLC, based in Clifton Springs, NY, with 33 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
22 East Main Street, Clifton Springs, NY, 14432
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
John works as a financial advisor for Spero Financial Service, dedicating about a quarter of his time to investment advice and financial planning. He also serves as a board member for Clifton Springs YMCA, spends a few hours per week selling annuities and insurance products, and leases rental property.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Invest Financial CorporationBroker
Community Investment Services, INC.Broker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Citicorp Investment Services
Citicorp Investment ServicesBroker
Hsbc Brokerage (USA) INC.Broker
M&t Securities, INC.Broker
Laughlin Group Advisors, INC.Broker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations4 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.