Robert John McCarthy

Robert John McCarthy is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 15020 S RAVINIA DR, STE 25D, ORLAND PARK, IL, 60462.

Robert John McCarthy has worked at PFS INVESTMENTS INC. since February 07, 2018

Disclosure History

Robert John McCarthy has 2 Disclosure Event(s).

Date: August 20, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $115,311.00
Judgment/Lien Type: Tax
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

Date: June 09, 2010
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: N/A

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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