TM
Thomas J. Mccarthy
CAPITAL ANALYSTS
Braintree, MA 02184
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CRD#: 1627868
TM
Professional summary
Thomas Jeremiah Mccarthy, AIF® is a registered financial advisor currently at CAPITAL ANALYSTS located in Braintree, Massachusetts and LINCOLN INVESTMENT located in Tewksbury, Massachusetts.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
SOUTH SHORE HEALTH POSITION: Member of the BoardChair of Quality, Service, Value Committee NATURE: Community Health System INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 01/01/2016 ADDRESS: 55 Fogg Road, South Weymouth MA 02190, United States DESCRIPTION: I serve as a member of the board (which makes sure the hospital is carrying out the goals of its mission statement; determines and changes compensation for hospital personnel; ensures hospital and staff are in compliance with state and federal law; approves budgets; reviews quality of care and overall safety of patients).Members of the Board also assure the integrity and effectiveness of the board's governance role and processes. I also serve at the Chair of the Quality, Service and Value Committee as additional oversight of the care provided by this charity to the community. KAF WEALTH MANAGEMENT LLC POSITION: Agent NATURE: life settlements INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 4 START DATE: 11/01/2023 ADDRESS: 35 Braintree Hill Office Park, Suite 400, Braintree MA 02184, United States DESCRIPTION: we occasionally will assist clients with life settlements for their life insurance policies as part of our life insurance review process, we will occasionally educate clients on life settlement options as one possible solution. KAF WEALTH MANAGEMENT AND KAF FINANCIAL ADVISORS, LLC POSITION: Principal/Agent NATURE: Life Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 100 START DATE: 01/01/1986 ADDRESS: 35 Braintree Hill Office Park, Suite 400, Braintree MA 02184, United States DESCRIPTION: Sales and servicing of life insurance policies; review traditional policies; assist with coordination of death claims; recommend changes to existing policies.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Jeremiah Mccarthy's 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®
Experience
Current
June 12, 2012 - Present
CAPITAL ANALYSTS
Office #1: 35 Braintree Hill Office Park Suite 102, Braintree, MA 02184RIA
CRD#: 162200
Braintree, MA
Current
June 1, 2012 - Present
LINCOLN INVESTMENT
Office #1: 30 International Place, Tewksbury, MA 01876Office #2: 35 Braintree Hill Office Park Suite 400 & 405, Braintree, MA 02184RIA
BD
CRD#: 519
Tewksbury, MA
Past
May 1, 1997 - July 8, 1998
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
April 2, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 23, 1992 - March 7, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 21, 1987 - June 1, 2012
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
BRAINTREE, MA
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".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/1/2012)
RR
Connecticut(6/1/2012)
RR
Delaware(12/23/2014)
RR
District of Columbia(2/12/2016)
RR
Florida(6/2/2012)
RR
Georgia(5/2/2023)
RR
Hawaii(7/23/2024)
RR
Kentucky(8/8/2016)
RR
Maine(7/2/2015)
RR
Maryland(9/22/2020)
RR
Massachusetts(6/1/2012)
IAR
Massachusetts(6/12/2012)
RR
Montana(1/10/2024)
RR
Nevada(1/4/2019)
RR
New Hampshire(6/1/2012)
RR
New Jersey(11/7/2014)
RR
New York(6/1/2012)
RR
North Carolina(6/5/2018)
RR
Rhode Island(6/1/2012)
RR
South Carolina(1/4/2019)
RR
Texas(6/1/2012)
RR
Vermont(2/17/2017)
RR
Virginia(6/1/2012)
RR
West Virginia(8/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITAL ANALYSTS
CRD#: 162200Braintree, MA 02184TRUST BUT VERIFY
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