Kevin C. Mccarthy
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.
Kevin Christopher Mccarthy was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2009 - January 30, 2026
MADISON AVENUE SECURITIES, LLC
July 1, 2008 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
December 4, 2007 - January 30, 2026
MADISON AVENUE SECURITIES, LLC
November 10, 2004 - June 23, 2006
USALLIANZ SECURITIES, INC.
January 14, 1999 - December 31, 2002
LEGACY FINANCIAL SERVICES, INC.
January 9, 1997 - July 17, 1998
UNITED SECURITIES ALLIANCE, INC.
July 30, 1993 - December 19, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
October 18, 1991 - July 2, 1993
GKN SECURITIES CORP.
April 29, 1991 - October 25, 1991
PARAGON CAPITAL MARKETS, INC.
November 21, 1990 - May 6, 1991
J. GREGORY & COMPANY, INC.
September 24, 1987 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MANAGER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
