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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

Peter James McCarthy

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Granville, OH | Columbus, OH

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Search this name across graphsid dfx:ria:ae8b3f4f-8197-5a2c-bea6-c08c08ba6a6d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 29, 2002 to Sep 15, 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 5, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Jul 5, 1989
First registration: May 29, 2002
Dual registered: yes, broker-dealer
Other names: PETER JAMES MCCARTHY
IAPD individual key: 1960810

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 6, 2020	n/a	yes	Columbus, OH\|Granville, OH	Current employment
PNC CAPITAL ADVISORS LLC	Other adviser	Oct 2, 2017	Oct 5, 2020	no	Columbus, OH	Previous registration
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC	Former SEC adviser	Jun 8, 2006	Aug 17, 2007	no	STAMFORD, CT	Previous registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	May 29, 2002	Sep 3, 2003	no	PARSIPPANY, 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
PNC CAPITAL ADVISORS LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Oct 5, 2020	Oct 6, 2020	1	Firm change	Other
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC	PNC CAPITAL ADVISORS LLC	Aug 17, 2007	Oct 2, 2017	3,699	Firm change after gap	Other
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC	Sep 3, 2003	Jun 8, 2006	1,009	Firm change after gap	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Oct 6, 2020 to presentfactForm ADV
→ PNC CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Oct 2, 2017 to Oct 5, 2020factForm ADV
→ ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLCRegistered adviserregistration: previous registration
Jun 8, 2006 to Aug 17, 2007factForm ADV
→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
May 29, 2002 to Sep 3, 2003factForm ADV

Dated events

No dated event names this entity yet.