James Mccarthy
James Mccarthy is a registered investment advisor at Wells Fargo Advisors, based in Red Bank, NJ, with 30 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
331 Newman Springs Road Building 3 Suite 330, [Satellite], Red Bank, NJ, 07701
Get directionsHistory
Regulatory History (2)
Customer Dispute
November 2010Customer Dispute
March 2010Other Business Activities
James owns rental property in Naples, FL with his spouse, dedicating minimal time. He also has 100% ownership in JMAC Financial LLC and Lanterns 5 LLC, and 90% ownership in McCarthy GP, LLC, spending minimal time on these ventures except for McCarthy GP, LLC, which takes a few hours per week.
Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Advisors Financial Network, LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
H&r Block Financial Advisors, INC.Broker
State Registrations25 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.
Exams
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