Thomas M. 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.
Thomas Michael Mccarthy, who also goes by Tom Mccarthy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 20 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2017 - December 13, 2019
STRINGER ASSET MANAGEMENT, LLC
May 17, 2017 - December 11, 2019
MATRIX 360 DISTRIBUTORS, LLC
January 21, 2011 - April 18, 2017
VARIABLE INVESTMENT ASSOCIATES, INC.
November 17, 2009 - March 27, 2017
HORIZON INVESTMENT SERVICES, LLC.
September 19, 2008 - January 22, 2009
SANDERS MORRIS LLC
February 13, 2008 - January 21, 2009
EDELMAN FINANCIAL ADVISORS LLC
June 24, 2005 - January 18, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 18, 2003 - December 17, 2004
CURIAN CAPITAL, LLC
February 11, 2003 - December 17, 2004
INVESTMENT CENTERS OF AMERICA, INC.
April 28, 2000 - February 20, 2003
FUNDS DISTRIBUTOR, LLC
January 6, 2000 - April 27, 2000
LPM INVESTMENT SERVICES, INC
September 1, 1998 - December 31, 1999
CITIGROUP GLOBAL MARKETS INC.
March 28, 1996 - September 1, 1998
SALOMON BROTHERS INC.
June 29, 1994 - March 13, 1996
BNY MELLON SECURITIES CORPORATION
January 12, 1993 - May 2, 1994
AMERICAN CAPITAL MARKETING, INC.
April 9, 1991 - September 23, 1992
COUSINS SECURITIES CORPORATION
June 3, 1987 - April 24, 1991
A.S.A. INVESTMENT COMPANY
January 3, 1986 - April 3, 1987
INVEST FINANCIAL CORPORATION
April 25, 1984 - March 26, 1985
MORGAN STANLEY DW INC.
January 26, 1984 - March 9, 1984
FRANCIS MANZO & COMPANY, INCORPORATED
Primary Firm SEC Registration
STRINGER ASSET MANAGEMENT, LLC
CRD#: 166133 / SEC#: 801-77536
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
STRINGER ASSET MANAGEMENT, LLC
CRD#: 166133 / SEC#: 801-77536
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 42,215,169 |
Red Flags
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