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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-14 |
| IL | RA | APPROVED | 2023-04-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Chicago | IL | 02/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | 07/2020 |
| Brentview Investment Management, Llc | Chicago | IL | 07/2020 | 07/2022 |
| Wells Fargo Clearing Services, Llc (C | Chicago | IL | 07/2022 | 02/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Northbrook | IL | 02/2023 | Present |
MCCARTHY 2012 INVESTMENT LLC; INV. RELATED; WINNETKA, IL; MOTHER'S ESTATE PLANNING; 16.66% OWNERSHIP; START DATE 12/31/2012; 0 HRS PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-09-06 |
| S65 | Uniform Investment Adviser Law Examination | 2005-03-18 |
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