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Michael Kevin Harty

Cw Advisors, LLC

Boston, MA

Scottsdale, AZ

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Current Employers
Cw Advisors, Llc

155 Seaport Blvd 3Rd Floor, Boston, MA 02210 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2020-11-19
  • AZ RA
    APPROVED
    Since 2020-11-19

Branch Locations

155 Seaport Blvd 3Rd Floor, Boston, MA 02210 • United States

15169 N. Scottsdale Rd. Suite 205, Scottsdale, AZ 85254 • 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
Charles Schwab & Co., Inc. La Jolla CA 07/2010 01/2019
Charles Schwab Bank La Jolla CA 05/2016 01/2019
Cw Advisors, Llc Scottsdale AZ 01/2019 Present
Previous Registrations
  • 2019-01-30 → 2020-12-02
    Congress Wealth Management Llc
    Tempe, AZ
    Boston, MA
    Scottsdale, AZ
  • 2012-09-19 → 2019-01-16
    Charles Schwab & Co., Inc.
    Phoenix, AZ
    Phoenix, AZ
    Phoenix, AZ
    Phoenix, AZ
    La Jolla, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-18
S63 Uniform Securities Agent State Law Examination 2010-09-13
  • S66 Uniform Combined State Law Examination
    2012-09-18
  • S63 Uniform Securities Agent State Law Examination
    2010-09-13
Designations

View on SEC IAPD

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ADVENT INTERNATIONAL, L.P. · BOSTON, MA
NEW HERITAGE CAPITAL, LLC · BOSTON, MA
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