William Mccarty
William Mccarty is a registered investment advisor at Fifth Third Securities, INC., based in Oak Brook, IL, with 25 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 43,031 clients with $9.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.35% |
| $500K - $750K | 1.25% |
| $750K - $1.0M | 1.10% |
| $1.0M - $2.0M | 1.00% |
| $2M+ | 0.80% |
Fees are negotiable. In the Passageway One Program, if the client selects to receive the Tax Overlay Service, this optional service has an additional fee on top of the Passageway Program Standard Fee Schedule.
Fee Estimator
Location
1400 16th St, Oak Brook, IL, 60523
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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 Activities
William sells personal items online through eBay and Facebook Marketplace, dedicating a few hours per week to each platform. These activities are not securities related and will not interfere with his duties at the firm.
Employment History
Current Registrations
Fifth Third Securities, INC.
Fifth Third Securities, INC.Broker
Previous Registrations
Charles Schwab & CO., INC.Broker
Charles Schwab & CO., INC.
First Trust Portfolios L.P.Broker
First Trust Advisors LP
Genworth Financial Advisers Corporation
Genworth Financial Securities CorporationBroker
Linsco/private Ledger CORP.Broker
Putnam Retail Management Limited PartnershipBroker
Legg Mason Wood Walker, IncorporatedBroker
Moors & Cabot, INC.Broker
State Registrations5 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.