Michael George Mccarthy

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-05-27
IL	RA	APPROVED	2002-11-20

TX RA
APPROVED

Since 2022-05-27
IL RA
APPROVED

Since 2002-11-20

Branch Locations

425 N Martingale Rd Ste 200, Schaumburg, IL 60173 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Itasca	IL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Itasca	IL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Itasca, IL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Itasca, IL

Other Businesses

DEPAUL UNIVERSITY, INSTRUCTOR, TEAH CFP INVESTMENT COURSES 4 TIMES A YEAR, PART TIME, NOT DURING TRADING HOURS, START 2001 DEPAUL UNIVERSITY, NOT INVESTMENT RELATED, DIRECTOR OF FINANCIAL EDUCATION CENTER, CHICAGO IL, 2 HRS/MONTH, 0 DURING TRADING, START 1/1/08.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-08-01
S63	Uniform Securities Agent State Law Examination	1987-08-07

S65 Uniform Investment Adviser Law Examination

1997-08-01
S63 Uniform Securities Agent State Law Examination

1987-08-07

Designations

Certified Financial Planner

Other Names

Mike Mccarthy

View on SEC IAPD