Stephen P. Mccarthy

MCCARTHY ASSET MANAGEMENT

REDWOOD CITY, CA 94065

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CRD#: 1542963

Professional summary

Stephen Peter Mccarthy, CFP®, who also goes by Steve Peter Mccarthy, is a registered financial advisor currently at MCCARTHY ASSET MANAGEMENT, INC. located in Redwood City, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Stephen has worked at 5 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Peter 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Peter 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®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

August 2, 2005 - Present

MCCARTHY ASSET MANAGEMENT, INC.

Office #1: 3 Lagoon Drive Suite 110, Redwood City, CA 94065

RIA

CRD#: 118285

REDWOOD CITY, CA

Past

January 2, 1989 - June 22, 1990

FOOTHILL SECURITIES, INC.

CRD#: 1027

Past

April 1, 1988 - October 31, 1988

CHRISTOPHER WEIL & COMPANY, INC

CRD#: 6566

Past

September 15, 1987 - April 4, 1988

JUDY & ROBINSON SECURITIES, INC

CRD#: 2378

Past

August 21, 1986 - September 24, 1987

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

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".

MCCARTHY ASSET MANAGEMENT, INC.

MCCARTHY ASSET MANAGEMENT | MCCARTHY, STEPHEN PETER | MCCARTHY ASSET MANAGEMENT, INC.

CRD#: 118285 / SEC#: 801-60897

RIA

Registered Investment Advisory firm - (2/1/2002 Approved)

California

Registered Investment Advisory firm - (2/14/2002 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

California
(8/2/2005)

IAR

Texas
(2/26/2019)

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

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Current Firm

MCCARTHY ASSET MANAGEMENT, INC.

MCCARTHY ASSET MANAGEMENT | MCCARTHY, STEPHEN PETER | MCCARTHY ASSET MANAGEMENT, INC.

CRD#: 118285 / SEC#: 801-60897

RIA

Registered Investment Advisory firm - (2/1/2002 Approved)

California

Registered Investment Advisory firm - (2/14/2002 Terminated)

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Contact information

Main Address

3 Lagoon Drive, Suite 155, Redwood Shores, CA 94065

Mailing Address

Phone number

(650) 610-9540

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

FIRM BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	829
AUM (Assets Under Management)	$ 377,857,588

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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Stephen P. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Peter Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCCARTHY ASSET MANAGEMENT, INC.

FOOTHILL SECURITIES, INC.

CHRISTOPHER WEIL & COMPANY, INC

JUDY & ROBINSON SECURITIES, INC

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

MCCARTHY ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 8/16/1986

Current Firm

MCCARTHY ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCCARTHY ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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