Joseph W. Mccarthy

AFG FIDUCIARY SERVICES

Hingham, MA 02043

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CRD#: 1017415

Professional summary

Joseph William Mccarthy, CFP® is a registered financial advisor currently at AFG FIDUCIARY SERVICES located in Hingham, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Hingham, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Joseph has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Joseph McCarthy is dually-registered as an Investment Advisor Representative with AFG Fiduciary Services Limited Partnership - since 12/2020) and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. (PKS" - since 12/2020). Same business address. Approximately 90% of Mr. McCarthy's time is for services as an Investment Advisor Representative and the balance as a Registered Representative. AFG and PKS are not affiliated. 2) 1. PKSF 2. Not investment related 3. 2 HMS Essington Dr., MA, 02043 4. Selling fixed income annuities and insurance 5. Agent 6. 12/2020 7. 12 hrs/mo 8. 12 hours during trading 9. Present and provide solutions to clients and prospects using fixed annuities or types of insurance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph William Mccarthy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

December 15, 2020 - Present

AFG FIDUCIARY SERVICES

Office #1: 2 Essington Drive, Hingham, MA 02043

RIA

CRD#: 309943

Hingham, MA

Current

December 22, 2020 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 2 Hms Essington Drive, Hingham, MA 02043

CRD#: 35747

Hingham, MA

Past

October 8, 2015 - December 17, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

HINGHAM, MA

Past

October 7, 2015 - December 17, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

HINGHAM, MA

Past

February 25, 2010 - October 5, 2015

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

HINGHAM, MA

Past

January 29, 2010 - October 5, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

HINGHAM, MA

Past

November 23, 1994 - January 27, 2010

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BRAINTREE, MA

Past

January 20, 1983 - January 20, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BRAINTREE, MA

Past

December 11, 1981 - June 9, 1982

OTC NET INCORPORATED

CRD#: 7756

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AFG FIDUCIARY SERVICES

AFG FIDUCIARY SERVICES | AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP

CRD#: 309943 / SEC#: 801-119539

RIA

Registered Investment Advisory firm - (9/25/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/27/2021)

Florida
(12/22/2020)

IAR

Massachusetts
(12/15/2020)

Massachusetts
(1/4/2021)

New Hampshire
(2/5/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/7/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/20/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

AFG FIDUCIARY SERVICES

AFG FIDUCIARY SERVICES | AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP

CRD#: 309943 / SEC#: 801-119539

RIA

Registered Investment Advisory firm - (9/25/2020 Approved)

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Contact information

Main Address

2 Essington Drive, Hingham, MA 02043

Mailing Address

Phone number

(781) 741-2540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFG DISCLOSURE BROCHURE, WRAP FEE PROGRAM BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (2/13/2025)

Regulatory assets under management

Total Number of Accounts	442
AUM (Assets Under Management)	$ 229,162,602

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Joseph W. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph William Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

OTC NET INCORPORATED

Primary Firm SEC Registration

AFG FIDUCIARY SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 1/7/1982

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1981

Series 8

Date: 5/20/1986

FINRA

Current Firm

AFG FIDUCIARY SERVICES

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AFG FIDUCIARY SERVICES

TRUST BUT VERIFY

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