Kevin James Mccarthy
Professional Summary
Kevin James Mccarthy, who also goes by Kevin Mccarthy, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Newnan, Georgia. 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 7 firms and has passed the Series 65, Series 63, Series 22TO, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kevin Mccarthy
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
39 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
Contact Information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628Phone Number
(706) 649-2327Established
Georgia since 06/27/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
280SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PINNACLE FINANCIAL PARTNERS INC. | SYNOVUS SECURITIES, INC. PARENT | — |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MACHARIA, MWANGI JOHN | DEPUTY CHIEF COMPLIANCE OFFICER | 2723756 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory Assets Under Management
Total Number of Accounts
12,411AUM (Assets Under Management)
$8,445,083,014Disclosures
Regulatory Event
10Arbitration
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/22/2025 | Cover Page | Report |
| 11/22/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
State Registrations and Notice Filings
(10/1/2021)
(10/6/2021)
(10/1/2021)
(8/8/2023)
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(10/13/2021)
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(3/31/2026)
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(10/4/2021)
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(10/6/2021)
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(5/5/2023)
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(10/26/2021)
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(11/18/2021)
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(10/4/2021)
(10/1/2021)
(10/4/2021)
(10/1/2021)
(4/28/2026)
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(10/11/2021)
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(12/22/2023)
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(11/2/2021)
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(5/27/2022)
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(1/31/2025)
(3/26/2026)
(10/1/2021)
(10/13/2021)
(10/1/2021)
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(10/24/2021)
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(3/3/2025)
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(10/11/2021)
(4/1/2024)
(1/31/2025)
(10/1/2021)
(10/1/2021)
(10/4/2021)
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(10/1/2021)
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(10/5/2021)
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(10/20/2021)
(10/1/2021)
(10/8/2021)
(10/1/2021)
(4/21/2022)
(10/1/2021)
(10/18/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1993SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kevin James Mccarthy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin James Mccarthy's CRS (Customer Relationship Summary).
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