Nicholas Mc Carthy

CRD 1967728 · J.P. Morgan Securities LLC · Franklin Lakes, NJ

Broker

Also appears in the source record as: Nicholas Andrew Mccarthy; Nicholas Mccarthy; Nick Mccarthy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (6): Series 6TOSIESeries 25Series 55Series 7Series 63
Registered states (3): Connecticut · New Jersey · New York
Years in the industry (source record): 17
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (8)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Franklin Lakes, NJ · BC capacity

start not retrieved → present
Lehman Brothers Inc.
New York, NY · BC capacity

Apr 8, 2002 → Jan 25, 2007
Schwab Capital Markets L.P.
Stamford, CT · BC capacity

Aug 12, 1998 → Dec 20, 2001
Cantone Research Inc.
Eatontown, NJ · BC capacity

Dec 23, 1997 → Jan 21, 1998
Sherwood Securities Corp.
New York, NY · BC capacity

Mar 4, 1996 → Oct 22, 1996
Inverlat International, Inc.
New York, NY · BC capacity

Nov 22, 1994 → Jan 30, 1995
Furman Selz Incorporated
New York, NY · BC capacity

Nov 26, 1993 → May 20, 1994
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Mar 4, 1993 → Aug 2, 1993

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1967728 ↗ FINRA BrokerCheck record for CRD 1967728 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.