Edward G. Mccarthy

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CRD#: 1069514

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 George Mccarthy, who also goes by Ed Mccarthy, was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1982. Edward had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ed Mccarthy

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) Advanced Total Soccer, Inc; Not Investment Related; ATSC will assign an experienced professional coach to train your soccer team; website owner; 12/23/2006; 5 hrs/month; .16 hrs/day; receiving compensation in the amount of $6,000/month. 2) Chester-Mendham Republican Club; this is a club for resident Republicans to meet and strategize for the election of the GOP candidates, state & local; 300 Route 24 Chester, NJ 07930; start date: 11/01/2018; Vice President; help set agendas and recruiting members; 2hrs/month; not investment-related

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

December 17, 2010 - January 29, 2025

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

BEDMINSTER, NJ

Past

November 3, 1998 - January 29, 2025

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

BEDMINSTER, NJ

Past

December 16, 1991 - November 25, 1998

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, NY

Past

March 13, 1989 - December 16, 1991

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, NY

Past

February 22, 1986 - March 29, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 10, 1982 - February 19, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

December 10, 1982 - February 20, 1986

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".

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC

CRD#: 463 / SEC#: 801-7258, 8-462

RIA

Registered Investment Advisory firm - SEC (3/8/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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: 12/7/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/1985

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: 10/19/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/1/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/9/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/24/1992

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/10/1992

General Securities Principal Examination

Current Firm

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC

CRD#: 463 / SEC#: 801-7258, 8-462

RIA

Registered Investment Advisory firm - SEC (3/8/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1717 Arch Street, Philadelphia, PA 19103

Mailing Address

1717 Arch Street, Philadelphia, PA 19103

Phone number

(215) 665-6000

Established

Delaware since 08/27/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

2,375

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JANNEY MONTGOMERY SCOTT WRAP FEE DISCLOSURE BROCHURE (10/3/2025)

JANNEY MONTGOMERY SCOTT INVESTMENT MANAGEMENT DISCLOSURE BROCHURE (10/3/2025)

Direct owners and executive officers

Name	Position	CRD#
JUNE PURCHASER LLC	OWNER
CULLEY, JOSEPH DAVID	BANKING PRINCIPAL (BP)	4275987
DOWNEY, DANEEN ELIZABETH	DEPUTY GENERAL COUNSEL	4758790
FUSCO, CHRISTOPHER	ROSFP	5858082
HALL, CAROLINE KATHRYNE	CHIEF COMPLIANCE OFFICER	6342772
HRICKO, MICHAEL J	CHIEF FINANCIAL OFFICER	4509746
LEMPA, JESSICA ELLEN	IA CCO	5276453
MCSHEA, GREGORY BURNS	GENERAL COUNSEL	2870963
MILLER, ANTHONY MATTHEW	DIRECTOR, PRESIDENT AND CEO	4597116
MULLAN, DAVID MICHAEL	PRINCIPAL OPERATIONS OFFICER	2739186
REED, KEVIN JUDE	EXECUTIVE OFFICER	2105832
RIGGI, BRETT STEPHAN	CHIEF OPERATING OFFICER	4462496

Regulatory assets under management

Total Number of Accounts	239,256
AUM (Assets Under Management)	$ 100,795,564,390

Disclosures

Regulatory Event	54
Arbitration	66
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/07/2025	Cover Page	Report
03/21/2025	Cover Page	Report
10/09/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Edward G. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

M.S. FARRELL & COMPANY, INC.

D. H. BLAIR & CO., INC.

LEHMAN BROTHERS INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

JANNEY MONTGOMERY SCOTT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/2010

Series 63

Date: 11/25/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Series 22

Date: 8/1/1984

Series 6

Date: 12/9/1982

Series 53

Date: 12/24/1992

Series 24

Date: 3/10/1992

Current Firm

JANNEY MONTGOMERY SCOTT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

JANNEY MONTGOMERY SCOTT LLC

TRUST BUT VERIFY

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