John Francis Mccarthy

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
NJ	RA	APPROVED	2024-09-24
NY	RA	APPROVED	2021-07-27

NJ RA
APPROVED

Since 2024-09-24
NY RA
APPROVED

Since 2021-07-27

Branch Locations

1 Penn Plz Fl 27, New York, NY 10119 • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	New York	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	New York	NY	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

New York, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

New York, NY

Other Businesses

MILLINGTON BAPTIST CHURCH; INV RELATED; BASKING RIDGE, NJ; ELDER BOARD MEMEBER; START: 3/13/2024; 10 HOURS PER MONTH; 0 DURNIG TRADING; ATTEND MEETINGS ABOUT CHURCH ACTIVITIES, FINANCES AND PROGRAMS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-12-29
S63	Uniform Securities Agent State Law Examination	1986-05-30

S65 Uniform Investment Adviser Law Examination

1995-12-29
S63 Uniform Securities Agent State Law Examination

1986-05-30