Robert McCarthy is Senior Vice President and Director of Regulatory Policy at Wells Fargo Advisors, where he leads teams responsible for Compliance policies and for assessing and commenting upon new rules and regulations. Mr. McCarthy previously served as Director of Regulatory Compliance at Wells Fargo Advisors, responsible for facilitating regulatory examinations, Compliance policy management and marketing review. Before joining Wachovia Securities in 2004, Mr. McCarthy practiced law at Venable, LLP in Washington, DC where his practice focused on business transactions and broker dealer and investment adviser regulation. Prior to practicing law at Venable, Mr. McCarthy was Chief Compliance Officer for a regional brokerage firm, also based in Washington, DC.
Mr. McCarthy received his undergraduate degree from Towson University and earned his J.D. from Catholic University’s Columbus School of Law.