KM
Kevin C. Mccarthy
MADISON AVENUE SECURITIES
Hialeah, FL 33016
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CRD#: 1702715
KM
Professional summary
Kevin Christopher Mccarthy is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Hialeah, Florida.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kevin has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, 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.
1.) NAME OF BUSINESS: MCCARTHY FINANCIAL GROUP, P.A. ;POSITION: OWNER (ACTIVE); NATURE: INSURANCE; INVESTMENT RELATED: YES; NUMBER OF HOURS: 25; INVESTMENT RELATED HOURS: 25; START DATE: 05/18/1995; ADDRESS: 8051 W. 24th Ave., Suite 12, Hialeah, FL 33016; DESCRIPTION: INSURANCE, FIXED ANNUITIES & LIFE INSURANCE 2.) NAME OF BUSINESS: ESTATE DOCUMENTS PRO. ;POSITION: ESTATE PLANNER; NATURE: ONLINE ESTATE PLANNING ; INVESTMENT RELATED: NO; NUMBER OF HOURS/WEEK: 1-2; INVESTMENT RELATED HOURS/WEEK: 1-2; START DATE: 09/2021; WEBSITE: WWW.ESTATEDOCSPRO.COM 3.) NAME OF BUSINESS: KEVIN MCCARTHY DBA KEVIN MCCARTHY ADVISORY SERVICES; POSITION: OWNER; NATURE: CHECKING ACCOUNT TO PROCESS PAYROLL. 4.) NAME OF BUSINESS: WEALTHCARE FINANCIAL PLANNING; POSITION: AUTHOR; NATURE: MARKETING PROGRAM PROMOTING THE BOOK; INVESTMENT RELATED: YES; NUMBER OF HOURS: 20; INVESTMENT RELATED HOURS: 20; START DATE: 05/18/2025; ADDRESS: 8051 W. 24TH AVE., SUITE 12, HIALEAH, FL 33016; DESCRIPTION: BOOK/SDBA
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Christopher Mccarthy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Christopher 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®
NoneExperience
Current
April 2, 2009 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 8051 W. 24th Ave., Suite 12, Hialeah, FL 33016RIA
BD
CRD#: 23224
Hialeah, FL
Current
December 4, 2007 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 8051 W. 24th Ave., Suite 12, Hialeah, FL 33016RIA
BD
CRD#: 23224
Hialeah, FL
Past
July 1, 2008 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
NORTH MIAMI BEACH, FL
Past
November 10, 2004 - June 23, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
January 14, 1999 - December 31, 2002
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
January 9, 1997 - July 17, 1998
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
July 30, 1993 - December 19, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
October 18, 1991 - July 2, 1993
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
April 29, 1991 - October 25, 1991
PARAGON CAPITAL MARKETS, INC.
BD
CRD#: 18555
EAST HANOVER, NJ
Past
November 21, 1990 - May 6, 1991
J. GREGORY & COMPANY, INC.
BD
CRD#: 14892
Past
September 24, 1987 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Florida(12/17/2007)
IAR
Florida(4/2/2009)
RR
Georgia(8/18/2009)
RR
Indiana(5/13/2014)
RR
New Mexico(5/11/2016)
RR
New York(1/5/2018)
RR
North Carolina(8/8/2023)
RR
Ohio(3/13/2019)
RR
Pennsylvania(5/19/2015)
RR
Tennessee(11/2/2022)
IAR
Texas(7/29/2021)
RR
Texas(9/16/2021)
RR
Virginia(2/22/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
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 | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| 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.
Company Information
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Hialeah, FL 33016TRUST BUT VERIFY
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