Mark B. Mccarthy

CMC FINANCIAL GROUP

Atlanta, GA 30328

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CRD#: 1312430

Professional summary

Mark Barry Mccarthy, who also goes by Mark B Mccarthy, is a registered financial advisor currently at CMC FINANCIAL GROUP, LLC located in Atlanta, Georgia.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark B 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.

INSURANCE SALES; INVESTMENT RELATED; ATLANTA, GA; AGENT; 2018; APPROX. 2 HOURS/MO DURING TRADING HOURS; SALES OF INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Barry Mccarthy's CRS (Customer Relationship Summary).

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

May 4, 2018 - Present

CMC FINANCIAL GROUP, LLC

Office #1: 7000 Central Parkway Suite 225, Atlanta, GA 30328

RIA

CRD#: 292413

Atlanta, GA

Past

February 13, 2009 - May 9, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

ATLANTA, GA

Past

February 13, 2009 - May 9, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ATLANTA, GA

Past

August 14, 2000 - March 4, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ATLANTA, GA

Past

August 14, 2000 - March 4, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ATLANTA, GA

Past

November 7, 1995 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

July 3, 1989 - October 23, 1995

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

February 15, 1988 - July 19, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 26, 1985 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 26, 1984 - November 14, 1985

BUCKINGHAM SECURITIES, LTD.

CRD#: 10570

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".

CMC FINANCIAL GROUP, LLC

CMC FINANCIAL | CMC FINANCIAL GROUP, LLC

CRD#: 292413 / SEC#: 801-112662

RIA

Registered Investment Advisory firm - (3/28/2018 Approved)

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

Georgia
(5/4/2018)

IAR

Texas
(4/29/2019)

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: 3/16/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/31/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/2016

General Securities Principal Examination

Current Firm

CMC FINANCIAL GROUP, LLC

CMC FINANCIAL | CMC FINANCIAL GROUP, LLC

CRD#: 292413 / SEC#: 801-112662

RIA

Registered Investment Advisory firm - (3/28/2018 Approved)

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Contact information

Main Address

7000 Central Parkway Suite 225, Atlanta, GA 30328

Mailing Address

Phone number

(678) 690-8800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CMC WRAP BROCHURE (3/17/2025)

ADV PART 2A-CMC FINANCIAL GROUP, LLC (3/17/2025)

Regulatory assets under management

Total Number of Accounts	383
AUM (Assets Under Management)	$ 109,893,508

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

Mark B. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Barry Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

THE ROBINSON-HUMPHREY COMPANY, LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

BUCKINGHAM SECURITIES, LTD.

Primary Firm SEC Registration

CMC FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/1992

Series 63

Date: 11/1/1984

SIE

Date: 5/9/2018

Series 3

Date: 1/31/1989

Series 7

Date: 10/20/1984

Series 24

Date: 8/29/2016

Current Firm

CMC FINANCIAL GROUP, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CMC FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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