Susan Mccarthy is a CFP-designated registered investment advisor at LPL Financial LLC, based in Chicago, IL, with 44 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
Chicago, IL
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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.
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Susan is affiliated with McCarthy Investment Strategies, Inc. since 2006. She is also a member of a volunteer musical group called "Grace Notes" that performs at retirement homes, hospitals, churches, and local libraries, dedicating minimal time to this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.Broker
The Variable Annuity Marketing CompanyBroker
Linsco/private Ledger CORP.Broker
American General Financial Advisors, INC.Broker
The Variable Annuity Marketing CompanyBroker
Mesirow Financial, INC.Broker
Painewebber IncorporatedBroker
Bear, Stearns & CO. INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Lehman Brothers Kuhn Loeb IncorporatedBroker
State Registrations15 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.