Monica A. Mccarthy
Professional summary
Monica Ann Mccarthy, CFA, CPWA®, who also goes by Monica Ann Diferdinando, Monica Ann Ness, is a registered financial advisor currently at SEASCAPE CAPITAL MANAGEMENT,LLC located in Portsmouth, New Hampshire and F L PUTNAM INVESTMENT MANAGEMENT CO. located in Portsmouth, New Hampshire.
Monica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Monica has worked at 8 firms and has passed the Series 63, Series 7 and Series 27 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Monica Ann Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2017-10-16
Expire date: 2023-09-30
Experience
April 11, 2005 - Present
SEASCAPE CAPITAL MANAGEMENT,LLC
Office #1: 99 Bow Street Suite 300 East, Portsmouth, NH 03801July 17, 2026 - Present
F L PUTNAM INVESTMENT MANAGEMENT CO.
Office #1: 99 Bow Street Suite 300 East, Portsmouth, NH 03801July 28, 2009 - June 29, 2011
ENVOY SECURITIES, LLC
March 3, 2004 - March 31, 2005
TH&T PRIVATE ASSET MANAGEMENT, LLC
May 7, 2001 - May 22, 2003
HARVEST CAPITAL MANAGEMENT INC
January 29, 1990 - August 11, 1992
WACHOVIA SECURITIES, INC.
October 13, 1987 - February 24, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 23, 1986 - October 19, 1987
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223 / SEC#: 801-21951
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/16/2026)
(12/13/2006)
(6/22/2005)
(4/11/2005)
(7/17/2026)
Exams
Current Firm
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223 / SEC#: 801-21951
Contact information
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,380 |
| AUM (Assets Under Management) | $ 7,695,902,054 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/08/2025 | ||
| 08/21/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
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.
Company Information
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223Portsmouth, NH 03801TRUST BUT VERIFY
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