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Patrick Coleman McCarthy

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Leawood, KSCRD #2087016Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
36 yrs
States Registered
33 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 33 states
AlabamaArizonaArkansasCaliforniaColoradoFloridaGeorgiaIdahoIllinoisIndianaIowaKansasLouisianaMarylandMichiganMinnesotaMississippiMissouriNevadaNew JerseyNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaRhode IslandSouth DakotaTennesseeTexasUtahVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 4/30/2003
Series 63
Uniform Securities Agent State Law Examination
Passed 10/3/1990
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 10/30/1991
Series 7
General Securities Representative Examination
Passed 9/19/1990
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 6/9/2008
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 5/29/2008

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
9/28/2023Leawood, KS
RBC CAPITAL MARKETS, LLCCurrent
9/28/2023Mission Hills, KS
UBS FINANCIAL SERVICES INC.
8/12/200610/10/2023Leawood, KS
PIPER JAFFRAY & CO.
6/23/19988/12/2006Leawood, KS

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Patrick Coleman McCarthy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Patrick Coleman McCarthy - Financial Advisor in Leawood, KS | AdvisorFinder