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Annu Mccarthy

Wells Fargo Clearing Services, LLC

Short Hills, NJ

Florham Park, NJ

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Current Employers
Wells Fargo Clearing Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-05-26
  • NJ RA
    APPROVED
    Since 2022-05-26

Branch Locations

51 John F Kennedy Pkwy 4Th & 5Th Fls [Support Center], Short Hills, NJ 07078 • United States

200 Campus Dr Ste 220, Florham Park, NJ 07932 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Lebanon NJ 10/2014 10/2018
Ibex Wealth Advisors Lebanon NJ 10/2014 09/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 11/2018 05/2022
Wells Fargo Clearing Services, Llc Summit NJ 05/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-14
S63 Uniform Securities Agent State Law Examination 1993-05-07
  • S66 Uniform Combined State Law Examination
    2017-12-14
  • S63 Uniform Securities Agent State Law Examination
    1993-05-07
Other Names
  • Annu Mathews
  • Annu Mccarthy
  • Annu Mccarthy
  • Annu E Mccarthy
  • Annie Mccarthy

View on SEC IAPD

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Other Offices

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RIDGEWOOD INVESTMENTS · SPRINGFIELD, NJ
J.P. MORGAN SECURITIES LLC · SHORT HILLS, NJ
DORCHESTER ADVISORS LLC · SHORT HILLS, NJ
ESTEE ADVISORS LLC · SHORT HILLS, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SHORT HILLS, NJ
UNITED SUCCESS WEALTH MANAGEMENT · SHORT HILLS, NJ
TRANSAMERICA FINANCIAL ADVISORS, LLC · SHORT HILLS, NJ

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