Edward J. Mccarthy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward Joseph Mccarthy was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1983. Edward had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2006 - April 4, 2024
AVANTAX ADVISORY SERVICES
October 22, 1993 - April 4, 2024
AVANTAX INVESTMENT SERVICES, INC.
August 20, 1992 - August 23, 1993
HAHN SECURITIES, INC.
January 18, 1989 - July 10, 1991
AVANTAX INVESTMENT SERVICES, INC.
August 5, 1986 - June 6, 1988
M.S. KERNS INVESTMENTS, INC.
May 25, 1983 - December 19, 1985
LOWRY FINANCIAL SERVICES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
