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Detailed Report
THOMAS KEVIN MCCARTHY
CRD#: 2434512
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1001 BISHOP ST
STE 1900
HONOLULU, HI 96813
Registration History
19952000200520102015202020252 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - Present (17 years)BMORGAN STANLEY DW INC. (CRD# 7556)1994 - 2007 (13 years)IAMORGAN STANLEY (CRD# 7556)1996 - 2007 (11 years)
License(s)

State Registrations

B
Arkansas 3/9/2018
IA
Hawaii 3/25/2008
B
California 11/1/2018
B
Indiana 3/25/2008
B
District of Columbia 6/28/2023
B
Massachusetts 4/4/2019
B
Hawaii 3/25/2008
B
Utah 7/16/2018

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1001 BISHOP ST STE 1900, HONOLULU, HI 96813
Registered with this firm since 3/25/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1001 BISHOP ST STE 1900, HONOLULU, HI 96813
Registered with this firm since 3/25/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 03/26/2008 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) HONOLULU, HI
B
 04/02/2007 - 03/26/2008 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) HONOLULU, HI
IA
 04/30/1996 - 04/02/2007 MORGAN STANLEY (CRD#:7556) HONOLULU, HI
B
 02/17/1994 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) HONOLULU, HI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.