Christopher Alan Mccarthy
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chris Mccarthy
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
RETIREMENT PLANNING GROUP, LLC
Contact Information
Main Address
2691 State Route 9, Malta, NY 12020Phone Number
(518) 580-1919# of Employees
8SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,716AUM (Assets Under Management)
$375,390,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
RETIREMENT PLANNING GROUP, LLC
State Registrations and Notice Filings
(3/20/2024)
(3/20/2024)
(3/20/2024)
(8/2/2024)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1985About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Christopher Alan Mccarthy's CRS (Customer Relationship Summary).
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