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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

ANNU MCCARTHY

Advisor at WELLS FARGO ADVISORS

FLORHAM PARK, NJ | SHORT HILLS, NJ

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Search this name across graphsid dfx:ria:71461b6e-62a1-65f4-b391-ddf5fcd55a28

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 13, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 7, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: May 7, 1993
First registration: Jan 13, 2004
Dual registered: yes, broker-dealer
Other names: ANNU MATHEWS|Annu McCarthy|Annu McCarthy|ANNU E MCCARTHY|ANNIE MCCARTHY
IAPD individual key: 2332566

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	May 26, 2022	n/a	yes	SHORT HILLS, NJ\|FLORHAM PARK, NJ	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 8, 2019	May 26, 2022	no	PENNINGTON, NJ\|PENNINGTON, NJ	Previous registration
IBEX WEALTH ADVISORS, LLC	Independent wealth	Jan 11, 2018	Sep 24, 2018	no	WEST PALM BEACH, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 16, 2012	no	Warren, NJ\|Short Hills, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 20, 2008	Jun 1, 2009	no	WARREN, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 8, 2005	Sep 30, 2008	no	PENNINGTON, NJ\|BRIDGEWATER, NJ\|BRIDGEWATER, NJ	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jan 13, 2004	Mar 31, 2005	no	WARREN, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	May 26, 2022	May 26, 2022	0	Firm change	Wirehouse to wirehouse
IBEX WEALTH ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 24, 2018	Jan 8, 2019	106	Firm change	RIA to wirehouse
MORGAN STANLEY	IBEX WEALTH ADVISORS, LLC	Feb 16, 2012	Jan 11, 2018	2,156	Firm change after gap	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY & CO. LLC	Sep 30, 2008	Oct 20, 2008	20	Firm change	Other
A. G. EDWARDS & SONS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 31, 2005	Apr 8, 2005	8	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
May 26, 2022 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 8, 2019 to May 26, 2022factForm ADV
→ IBEX WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 11, 2018 to Sep 24, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 16, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 20, 2008 to Jun 1, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jan 13, 2004 to Mar 31, 2005factForm ADV

Dated events

Occurred
May 26, 2022
Advisor changed firm
Annu Mccarthy left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2022-05-26)
Form ADVobserved 5 days ago