Steve Mccarthy is a CFP-designated registered investment advisor, based in Littleton, CO, with 25 years of industry experience.
Location
Littleton, CO
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Raymond James Financial Services, INC.
January 2020 - Present · 6 yrs 4 mos
Raymond James Financial Services Advisors, INC
January 2020 - Present · 6 yrs 4 mos
Raymond James Financial Services, INC.Broker
January 2020 - Present · 6 yrs 4 mos
Raymond James & Associates, INC.
January 2020 - Present · 6 yrs 4 mos
Raymond James & Associates, INC.Broker
January 2020 - Present · 6 yrs 4 mos
Previous Registrations
Advice and Planning Services
October 2005 - September 2019 · 13 yrs 11 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
October 2005 - September 2019 · 13 yrs 11 mos
E*trade Securities LLCBroker
August 2004 - August 2005 · 1 yr
U.S. Bancorp Investments, INC.Broker
December 2003 - June 2004 · 6 mos
Charles Schwab & CO., INC.Broker
June 1998 - April 2002 · 3 yrs 10 mos
State Registrations2 states
COFL
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.