Monica A. Mccarthy

SEASCAPE CAPITAL MANAGEMENT,LLC

Portsmouth, NH 03801

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CRD#: 1504307

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.

Monica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Monica has worked at 7 firms and has passed the Series 63, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monica Ann Diferdinando | Monica Ann Ness

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica Ann 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®

CFA

Chartered Financial Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2017-10-16

Expire date: 2023-09-30

Experience

Current

April 11, 2005 - Present

SEASCAPE CAPITAL MANAGEMENT,LLC

Office #1: 99 Bow Street Suite 300 East, Portsmouth, NH 03801

RIA

CRD#: 126928

Portsmouth, NH

Past

July 28, 2009 - June 29, 2011

ENVOY SECURITIES, LLC

CRD#: 132719

COLORADO SPRINGS, CO

Past

March 3, 2004 - March 31, 2005

TH&T PRIVATE ASSET MANAGEMENT, LLC

RIA

CRD#: 129697

BOSTON, MA

Past

May 7, 2001 - May 22, 2003

HARVEST CAPITAL MANAGEMENT INC

RIA

CRD#: 106613

CONCORD, NH

Past

January 29, 1990 - August 11, 1992

WACHOVIA SECURITIES, INC.

CRD#: 431

Past

October 13, 1987 - February 24, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

May 23, 1986 - October 19, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

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".

SEASCAPE CAPITAL MANAGEMENT,LLC

CRD#: 126928 / SEC#: 801-79293

RIA

Registered Investment Advisory firm - (4/9/2014 Approved)

Maine

Registered Investment Advisory firm - (5/12/2014 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/18/2014 Terminated)

New Hampshire

Registered Investment Advisory firm - (5/19/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Maine
(12/13/2006)

IAR

Massachusetts
(6/22/2005)

IAR

New Hampshire
(4/11/2005)

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

Series 63

Date: 5/22/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/7/2009

Financial and Operations Principal Examination

Current Firm

SEASCAPE CAPITAL MANAGEMENT,LLC

CRD#: 126928 / SEC#: 801-79293

RIA

Registered Investment Advisory firm - (4/9/2014 Approved)

Maine

Registered Investment Advisory firm - (5/12/2014 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/18/2014 Terminated)

New Hampshire

Registered Investment Advisory firm - (5/19/2014 Terminated)

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Contact information

Main Address

99 Bow Street Suite 300 East, Portsmouth, NH 03801

Mailing Address

Phone number

(603) 964-4480

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

SCM FORM ADV 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	716
AUM (Assets Under Management)	$ 400,445,781

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2024	Cover Page	Report
01/23/2024	Cover Page	Report
01/26/2023	Cover Page	Report

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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Monica A. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica Ann Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ENVOY SECURITIES, LLC

TH&T PRIVATE ASSET MANAGEMENT, LLC

HARVEST CAPITAL MANAGEMENT INC

WACHOVIA SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SEASCAPE CAPITAL MANAGEMENT,LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/1986

Series 7

Date: 5/17/1986

Series 27

Date: 7/7/2009

Current Firm

SEASCAPE CAPITAL MANAGEMENT,LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEASCAPE CAPITAL MANAGEMENT,LLC

TRUST BUT VERIFY

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