Michael J Mccarthy

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2006-10-06

NJ RA
APPROVED

Since 2006-10-06

Branch Locations

161 Washington Valley Road Suite 205, Warren, NJ 07059 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network Llc	Basking Ridge	NJ	05/2009	Present

05/2009 → Present

Wells Fargo Advisors Financial Network Llc

Basking Ridge, NJ

Previous Registrations

2005-09-12 → 2006-10-16

Citigroup Global Markets Inc.

Florham Park, NJ

Florham Park, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-09-02
S63	Uniform Securities Agent State Law Examination	2005-07-01

S65 Uniform Investment Adviser Law Examination

2005-09-02
S63 Uniform Securities Agent State Law Examination

2005-07-01

Other Names

Michael James Mccarthy Jr

View on SEC IAPD