Paul F. Mccarthy

INVESTMENT MANAGEMENT SERVICES GROUP

Melbourne, FL 32904

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CRD#: 1298685

Professional summary

Paul Francis Mccarthy III is a registered financial advisor currently at INVESTMENT MANAGEMENT SERVICES GROUP, LLC located in Melbourne, Florida.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Paul has worked at 8 firms and has passed the Series 65, Series 66, Series 63 and Series 7 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.

IMS PARTNERS, INC., INVESTMENT RELATED, 4800 DAIRY ROAD, SUITE 101, MELBOURNE, FLORID 32904, INSURANCE SALES, VICE PRESIDENT AND INSURANCE AGENT, STARTED 8/2002, APPROXIMATELY100 HOURS/MONTH, 2-4 HOURS/DAY DURING TRADING HOURS. MANAGING AN INSURANCE AGENCY AND SELLING INSURANCE RELATED PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Francis Mccarthy III's 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®

None

Experience

Current

October 6, 2011 - Present

INVESTMENT MANAGEMENT SERVICES GROUP, LLC

Office #1: 4800 Dairy Road Suite 101, Melbourne, FL 32904

RIA

CRD#: 144031

Melbourne, FL

Past

March 14, 2008 - September 5, 2008

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

PALM BAY, FL

Past

January 15, 2003 - April 13, 2006

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

LONGWOOD, FL

Past

August 1, 2002 - September 18, 2002

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

April 23, 2001 - August 1, 2002

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

November 19, 1989 - December 7, 2000

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 26, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 1, 1984 - April 11, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

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.

Highlighted states indicate IAR registrations

IAR

Florida
(10/6/2011)

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: 12/2/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/14/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Current Firm

INVESTMENT MANAGEMENT SERVICES GROUP, LLC

CRD#: 144031 / SEC#:

Florida

Registered Investment Advisory firm - (1/2/2008 Approved)

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Contact information

Main Address

4800 Dairy Road Suite 101, Melbourne, FL 32904

Mailing Address

Phone number

(321) 837-0741

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	116
AUM (Assets Under Management)	$ 9,635,931

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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Advisor Monitoring

Firm Stability Insights

Paul F. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Francis Mccarthy III's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

EMPIRE FINANCIAL GROUP, INC.

SUMMIT BROKERAGE SERVICES, INC.

LOCUST STREET SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/2010

Series 66

Date: 5/14/2007

Series 63

Date: 9/28/1984

Series 7

Date: 9/15/1984

Current Firm

INVESTMENT MANAGEMENT SERVICES GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTMENT MANAGEMENT SERVICES GROUP, LLC

TRUST BUT VERIFY

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