Kevin C. Mccarthy
Professional summary
Kevin Christopher Mccarthy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Kevin had worked at 10 firms, which includes MADISON AVENUE SECURITIES LLC, MADISON AVENUE ADVISORS INC., USALLIANZ SECURITIES INC., LEGACY FINANCIAL SERVICES INC., UNITED SECURITIES ALLIANCE INC., INDEPENDENT FINANCIAL SECURITIES INC., GKN SECURITIES CORP., PARAGON CAPITAL MARKETS INC., J. GREGORY & COMPANY INC., THE STUART-JAMES COMPANY INCORPORATED.
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
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