Best Investors
Account
Sign in
Best Investors
Account
Sign in
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-11-09 |
| CT | RA | APPROVED | 2017-01-09 |
| MA | RA | APPROVED | 2004-01-28 |
Branch Locations
113 West Main Street, Northborough, MA 01532 • United States
384K Merrow Rd, Tolland, CT 06084 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mccarthy, Hargrave And Company | Northborough | MA | 07/1996 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 05/2002 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2004 | Present |
1)MCCARTHY, HARGRAVE, AND COMPANY. SAME AS REGISTERED LOCATION. NATURE OF BUSINESS IS PUBLIC ACCOUNTING AMD INCOME TAX REP. POSITION IS ACCOUNTANT, AND THE DUTIES ALONG WITH THE BUSINESS INCLUDE AUDITING, TAX PREPERATION, AND COMPUTER SYSTEM MAINTENANCE. APPROX. NUMBER OF HOURS PER WEEK DEVOTED TO BUSINESS IS 40, AND THE START DATE OF THIS BUSINESS WAS IN 07/01/1996. 2)MCCARTHY HARGRAVE WEALTH MANAGEMENT; SAME AS REGISTERED LOCATION; BUSINESS-WEALTH MANAGEMENT; PRESIDENT/ADVISOR SINCE 7/09; 10+ HRS/WK; DUTIES-FINANCIAL ADVISOR: 3) NAME OF OTHER BUSINESS: WILLINGTON FINANCIAL CO. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX AND ACCOUNTING START DATE: 1/2018 POSITION/TITLE/RELATIONSHIP: BUSINESS MANAGER APX NUMBER OF HOURS PER WEEK: 21 APX NUMBER OF HOURS DURING TRADING HOURS: 21 BRIEF DESCRIPTION OF DUTIES: RUNNING DAY TO DAY OPERATIONS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2002-06-21 |
Reach out to this advisor