Kathleen H. Mccarthy

ARCHER INVESTMENT

Fairview Park, OH

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CRD#: 1677723

Professional summary

Kathleen Honor Mccarthy, who also goes by Kate Mccarthy, Kathleen H Mccarthy, Katy H Mccarthy, is a registered financial advisor currently at ARCHER INVESTMENT CORPORATION located in Fairview Park, Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Fairview Park, Ohio.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kathleen has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kate Mccarthy | Kathleen H Mccarthy | Katy H 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.

1. PKS Financial/Ash Brokerage. Investment Related. At registered location. Insurance. Insurance Agent. 01/2017. 10 Hrs/Mo; 5 During Trading Hours. Selling of Life Insurance, LTC, and Fixed Business. 2. Archer Investment Corporation DBA McCarthy Solutions. Investment Related. At registered location. Investment Advisory. IAR. 06/2023. 120/Hrs Monthly; All during trading hours. Investment Related Advice

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Honor 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®

None

Experience

Current

June 5, 2023 - Present

ARCHER INVESTMENT CORPORATION

RIA

CRD#: 136403

Fairview Park, OH

Current

January 6, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Fairview Park, OH

Past

January 3, 2017 - August 23, 2023

JASON M ORSKY WEALTH MANAGEMENT LLC

RIA

CRD#: 170277

WESTLAKE, OH

Past

October 3, 2014 - January 4, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

FAIRVIEW PARK, OH

Past

October 3, 2014 - January 4, 2017

SII INVESTMENTS, INC.

CRD#: 2225

FAIRVIEW PARK, OH

Past

October 5, 2009 - October 8, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WESTLAKE, OH

Past

October 5, 2009 - October 8, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WESTLAKE, OH

Past

March 2, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

WESTLAKE, OH

Past

February 6, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

WESTLAKE, OH

Past

April 12, 2005 - February 26, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WESTLAKE, OH

Past

January 14, 2005 - February 26, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WESTLAKE, OH

Past

June 20, 2000 - January 20, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

October 25, 1993 - June 9, 1995

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

January 3, 1991 - October 19, 1993

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

May 10, 1990 - December 31, 1990

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

SMITHFIELD, RI

Past

November 27, 1987 - May 9, 1990

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

ARCHER INVESTMENT CORPORATION

CRD#: 136403 / SEC#: 801-64607

RIA

Registered Investment Advisory firm - (8/12/2005 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.

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

California
(1/6/2017)

Ohio
(1/6/2017)

IAR

Ohio
(6/5/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/6/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/19/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/25/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARCHER INVESTMENT CORPORATION

CRD#: 136403 / SEC#: 801-64607

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

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Contact information

Main Address

11711 N. College Ave Suite 200, Carmel, IN 46032

Mailing Address

Phone number

(317) 581-5664

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARCHER PART 2A BROCHURE (11/18/2025)

Regulatory assets under management

Total Number of Accounts	5,640
AUM (Assets Under Management)	$ 900,511,000

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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Advisor Monitoring

Firm Stability Insights

Kathleen H. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Honor Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

JASON M ORSKY WEALTH MANAGEMENT LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

EDWARD JONES

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS CORPORATION

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ARCHER INVESTMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/2005

Series 63

Date: 6/21/2000

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 10/6/2008

Series 7

Date: 6/19/2000

Series 6

Date: 11/25/1987

FINRA

Current Firm

ARCHER INVESTMENT CORPORATION

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARCHER INVESTMENT CORPORATION

TRUST BUT VERIFY

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