UBS Financial Services
46yrs
Top advisor by experience in Walnut Creek
38yrs
John McCarthy
Full name on record: John Patrick McCarthy
Financial advisor at Stifel, Nicolaus & Company
John McCarthy has worked in the financial industry for 38 years and is a fiduciary financial advisor based in Walnut Creek, California. John has been with Stifel, Nicolaus & Company since 2011; before that, John spent six years at Stone & Youngberg. Stifel, Nicolaus & Company offers financial planning, investment management, and private fund management and is paid through a percentage of assets, flat fees, and commissions.
One of 1115 advisors with offices in Walnut Creek, and one of 1005 fiduciaries.
At a glance
Experience38 years (since 1988)
How that compares ?Top 5% by experience in Walnut Creek
Office500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596
How the firm is paid ?Percent of assets, Flat fee, Commissions
Typical client at the firm ?$773,556
Advisors at the firm3,351
States licensed ?2 states
Services through Stifel, Nicolaus & Company
Financial planningInvestment management for individuals and small businessesManaging private fundsInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersEducational seminars and workshops
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Career
- 2011 – nowStifel, Nicolaus & Company, IncorporatedCurrent firm
- 2006 – 2011Stone & Youngberg LLCPreviously
Contact John
Local office(925) 746-6560Ask for John. (314) 342-2000Main office · St. Louis, MO 500 Ygnacio Valley Road, Suite 490Walnut Creek, CA 94596Office · Get directions
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Questions to ask John
Tailored to John’s registration and firm.
- What's your succession plan, and who would work with me if you retire?
- At a firm this size, will I work with you directly or with a service team?
- What does a financial plan with you include, and how often is it updated?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
My notes and scorecard
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About John
How do I contact John?
Call John’s local office at (925) 746-6560 or the Stifel, Nicolaus & Company main office at (314) 342-2000, and ask for John McCarthy.
How long has John been a financial advisor?
John has been in the industry since 1988, about 38 years. Top 5% by experience in Walnut Creek.
What licenses does John hold?
Series 63, Series 65. Tap any license on this page to see what it allows.
Is John a fiduciary?
John is registered as an investment advisor representative, which carries a fiduciary duty when giving investment advice.
How is John paid?
Stifel, Nicolaus & Company reports being paid by a percentage of the assets they manage, flat or fixed fees, commissions on some products. Ask John for your total yearly cost in dollars.
Official record as of October 3, 2026.
This profile is for information only and is not financial advice or a recommendation.
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