David Mccarley

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CRD#: 1570624

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Mccarley, CFP® was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Estate Planning

Investment Planning

Retirement Planning

Are you a "fiduciary"?

Aliases

None

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. Owner, DMC Financial Life Planning, LLC, a private entity established as an operating company and for liability purposes; As of 08/23/2017; Approximately 5-10% time spent during securities trading hours per month; Investment related. 2. Selling fixed insurance products, as an Agent; Investment related. 3. Trustee for a family-related Trust; Investment related.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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: 1999

Experience

Past

September 29, 2020 - January 10, 2024

MCCARLEY & COOK FINANCIAL PLANNERS

RIA

CRD#: 310087

CINCINNATI, OH

Past

December 4, 2000 - October 19, 2020

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Cincinnati, OH

Past

November 27, 2000 - October 30, 2019

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

CINCINNATI, OH

Past

November 8, 2000 - November 29, 2000

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Past

December 13, 1994 - November 6, 2000

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Past

October 26, 1992 - January 3, 1995

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

January 9, 1992 - October 5, 1992

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

March 16, 1990 - December 31, 1991

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

September 1, 1987 - March 21, 1990

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

October 29, 1986 - September 30, 1987

SYMETRA SECURITIES, INC.

CRD#: 739

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".

MCCARLEY & COOK FINANCIAL PLANNERS

MCCARLEY & COOK FINANCIAL PLANNER | MCCARLEY & COOK LLC | MCCARLEY & COOK FINANCIAL PLANNERS

CRD#: 310087 / SEC#: 801-125903

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

Ohio

Registered Investment Advisory firm - (6/23/2022 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 6/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/28/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MCCARLEY & COOK FINANCIAL PLANNERS

MCCARLEY & COOK FINANCIAL PLANNER | MCCARLEY & COOK LLC | MCCARLEY & COOK FINANCIAL PLANNERS

CRD#: 310087 / SEC#: 801-125903

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

Ohio

Registered Investment Advisory firm - (6/23/2022 Terminated)

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Contact information

Main Address

6910 Miami Ave., Cincinnati, OH 45243

Mailing Address

Phone number

(513) 792-9990

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCCARLEY & COOK ADV PART 2A & 2B ANNUAL AMENDMENT 03.07.25 (3/7/2025)

Regulatory assets under management

Total Number of Accounts	612
AUM (Assets Under Management)	$ 140,990,162

Red Flags

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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

David Mccarley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

BERKSHIRE EQUITY SALES, INC.

BERKSHIRE EQUITY SALES, INC.

DONAHUE SECURITIES, INC.

EQUITY SERVICES, INC.

MARINER FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

SYMETRA SECURITIES, INC.

Primary Firm SEC Registration

MCCARLEY & COOK FINANCIAL PLANNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/1999

Series 63

Date: 5/23/1988

SIE

Date: 10/1/2018

Series 7

Date: 1/12/2000

Series 6

Date: 10/28/1986

Current Firm

MCCARLEY & COOK FINANCIAL PLANNERS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCCARLEY & COOK FINANCIAL PLANNERS

TRUST BUT VERIFY

Contact information

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