Christopher A. Mccarthy

RETIREMENT PLANNING GROUP

Malta, NY 12020

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CRD#: 1357923

Professional summary

Christopher Alan Mccarthy, who also goes by Chris Mccarthy, is a registered financial advisor currently at RETIREMENT PLANNING GROUP, LLC located in Malta, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Malta, New York.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Christopher has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris 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. FIXED INSURANCE. INVESTMENT-RELATED, 1B HARWICH MANOR BALLSTON LAKE NY 12019, INSURANCE SALES, OWNER, STARTED IN FEBRUARY 1985, 20-60 HRS PER MONTH INCLUDING TRADING HOURS, SELF EMPLOYED SALES & SERVICES OF FIXED INSURANCE & ANNUITY PRODUCTS. 2. CHRISTOPHER MCCARTHY IS DUALLY REGISTERED WITH RETIREMENT PLANNING GROUP, LLC ("RETIREMENT PLANNING GROUP") AND PURSHE KAPLAN STERLING INVESTMENTS ("PKS"). MR. MCCARTHY HAS SERVED AS AN INVESTMENT ADVISOR REPRESENTATIVE FOR RETIREMENT PLANNING GROUP SINCE 03/2024 AND AS A REGISTERED REPRESENTATIVE WITH PKS SINCE 02/2024. BUSINESS IS CONDUCTED FROM 2691 STATE ROUTE 9, MALTA, NY 12020. APPROXIMATELY 50% OF MR. MCCARTHY'S TIME IS FOR SERVICES AS AN INVESTMENT ADVISOR REPRESENTATIVE AND THE BALANCE AS A REGISTERED REPRESENTATIVE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Alan 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

August 2, 2024 - Present

RETIREMENT PLANNING GROUP, LLC

Office #1: 2691 State Route 9, Malta, NY 12020

RIA

CRD#: 310647

Malta, NY

Current

March 20, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 2691 State Route 9 Suite 201, Malta, NY 12020

CRD#: 35747

Malta, NY

Past

August 2, 2021 - February 12, 2024

HAZARD & SIEGEL ADVISORY SERVICES LLC

RIA

CRD#: 151462

DEWITT, NY

Past

July 2, 2010 - February 12, 2024

HAZARD & SIEGEL, INC.

CRD#: 2048

DEWITT, NY

Past

September 30, 2005 - December 31, 2009

GWN SECURITIES INC.

CRD#: 128929

PALM BEACH GARDENS, FL

Past

May 5, 1997 - September 30, 2005

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

VICTOR, NY

Past

July 10, 1989 - December 4, 1997

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

June 19, 1985 - March 29, 1989

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

June 19, 1985 - March 29, 1989

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

RETIREMENT PLANNING GROUP, LLC

CRD#: 310647 / SEC#: 801-119537

RIA

Registered Investment Advisory firm - (9/28/2020 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(3/20/2024)

Florida
(3/20/2024)

New York
(3/20/2024)

IAR

New York
(8/2/2024)

Ohio
(3/20/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/17/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RETIREMENT PLANNING GROUP, LLC

CRD#: 310647 / SEC#: 801-119537

RIA

Registered Investment Advisory firm - (9/28/2020 Approved)

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Contact information

Main Address

2691 State Route 9, Malta, NY 12020

Mailing Address

Phone number

(518) 580-1919

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLANNING GROUP DISCLOSURE BROCHURE (4/10/2025)

Regulatory assets under management

Total Number of Accounts	1,430
AUM (Assets Under Management)	$ 282,828,000

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

Christopher A. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Alan Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

HAZARD & SIEGEL ADVISORY SERVICES LLC

HAZARD & SIEGEL, INC.

GWN SECURITIES INC.

WALL STREET FINANCIAL GROUP, INC.

GUARDIAN INVESTOR SERVICES LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

RETIREMENT PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/14/1986

SIE

Date: 10/1/2018

Series 6

Date: 4/17/1985

FINRA

Current Firm

RETIREMENT PLANNING GROUP, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLANNING GROUP, LLC

TRUST BUT VERIFY

Contact information

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