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Christopher John McCarthy
Christopher McCarthy
CRD#: 5903887
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 820 W. North Ave
Chicago, IL 60642-2502
Registration History
201220142016201820202022202420262 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2022 - Present (3 years)BTD AMERITRADE, INC. (CRD# 7870)2016 - 2024 (8 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2011 - 2013 (1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2016 - 2023 (7 years)IATD AMERITRADE, INC. (CRD# 7870)2016 - 2022 (6 years)
License(s)

State Registrations

B
Alabama 1/2/2025

B
Minnesota 3/18/2022

B
Arizona 3/17/2022

B
Missouri 1/26/2022

B
California 1/27/2022

B
Nevada 10/1/2024

B
Colorado 1/27/2022

B
New Jersey 9/20/2024

B
Connecticut 1/2/2025

B
New Mexico 1/2/2025

B
Florida 5/3/2022

B
New York 3/27/2022

IA
Illinois 1/27/2022

B
North Carolina 1/2/2025

B
Illinois 3/17/2022

B
Ohio 1/26/2022

B
Indiana 2/9/2022

B
South Carolina 4/8/2022

B
Iowa 1/27/2022

B
Tennessee 3/18/2022

B
Maryland 1/26/2022

B
Texas 1/27/2022

B
Massachusetts 2/28/2022

B
Washington 3/23/2022

B
Michigan 1/28/2022

B
Wisconsin 1/28/2022

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
820 W. North Ave, Chicago, IL 60642-2502
Registered with this firm since 1/27/2022

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
820 W. North Ave, Chicago, IL 60642-2502
Registered with this firm since 1/26/2022

Previous Registration(s)
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B
03/28/2016 - 06/06/2024 TD AMERITRADE, INC. (CRD#:7870) Chicago, IL
IA
03/28/2016 - 09/07/2023 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) CHICAGO, IL
IA
03/28/2016 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) Chicago, IL
IA
05/12/2015 - 03/11/2016 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) CHICAGO, IL
B
05/11/2015 - 03/11/2016 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) CHICAGO, IL
IA
03/18/2013 - 04/28/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHICAGO, IL
B
02/24/2013 - 04/28/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHICAGO, IL
B
11/30/2011 - 01/09/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) CRYSTAL LAKE, IL
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B
Broker
IA
Investment Adviser
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.