Blair M. Mccarthy

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CRD#: 1023944

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.

Blair Mason Mccarthy was a registered financial professional .

Blair is a previously registered financial professional and started their career in finance in 1982. Blair had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The McCarthy Family Trust, Investment Related, Trustee, 0 hours per month devoted, 0 hours per month devoted during trading hours, Trustee to Trust for Mother's Estate.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

February 18, 1994 - December 1, 2023

FPC INVESTMENT ADVISORY, INC.

RIA

CRD#: 122728

PETALUMA, CA

Past

January 5, 1993 - December 31, 1993

SECURITIES AMERICA, INC.

CRD#: 10205

Past

October 28, 1988 - December 31, 1992

FOOTHILL SECURITIES, INC.

CRD#: 1027

Past

April 1, 1988 - November 1, 1988

CHRISTOPHER WEIL & COMPANY, INC

CRD#: 6566

Past

June 16, 1987 - April 4, 1988

JUDY & ROBINSON SECURITIES, INC

CRD#: 2378

Past

March 21, 1985 - July 27, 1987

U.S. ADVISORS, INC.

CRD#: 10721

Past

February 27, 1985 - May 29, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

November 3, 1983 - March 5, 1985

JUDY & ROBINSON SECURITIES, INC

CRD#: 2378

Past

January 7, 1982 - November 8, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

FPC INVESTMENT ADVISORY, INC.

FPC INVESTMENT ADVISORY, INC | FPC WEALTH | FPC INVESTMENT ADVISORY, INC.

CRD#: 122728 / SEC#: 801-112493

RIA

Registered Investment Advisory firm - (2/26/2018 Approved)

Arizona

Registered Investment Advisory firm - (3/1/2018 Terminated)

California

Registered Investment Advisory firm - (3/31/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/29/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/23/1982

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/1985

General Securities Principal Examination

Current Firm

FPC INVESTMENT ADVISORY, INC.

FPC INVESTMENT ADVISORY, INC | FPC WEALTH | FPC INVESTMENT ADVISORY, INC.

CRD#: 122728 / SEC#: 801-112493

RIA

Registered Investment Advisory firm - (2/26/2018 Approved)

Arizona

Registered Investment Advisory firm - (3/1/2018 Terminated)

California

Registered Investment Advisory firm - (3/31/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2018 Terminated)

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Contact information

Main Address

1465 North Mcdowell Blvd Suite 170, Petaluma, CA 94954

Mailing Address

P.o. Box 750129, Petaluma, CA 94975

Phone number

(707) 795-0500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (11/8/2024)

Regulatory assets under management

Total Number of Accounts	694
AUM (Assets Under Management)	$ 297,218,585

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Blair M. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

FOOTHILL SECURITIES, INC.

CHRISTOPHER WEIL & COMPANY, INC

JUDY & ROBINSON SECURITIES, INC

U.S. ADVISORS, INC.

FINANCIAL PLANNERS EQUITY CORPORATION

JUDY & ROBINSON SECURITIES, INC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FPC INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/2014

Series 63

Date: 2/25/1991

Series 7

Date: 3/17/1984

Series 22

Date: 2/23/1982

Series 24

Date: 5/21/1985

Current Firm

FPC INVESTMENT ADVISORY, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FPC INVESTMENT ADVISORY, INC.

TRUST BUT VERIFY

Contact information

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