KM
Kevin J. Mccarthy
SYNOVUS SECURITIES
Newnan, GA 30263
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CRD#: 1735924
KM
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin 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.
POA FOR MAUREEN MCCARTHY (MOTHER) | START 6-8-2010 | 5199 SCARTLET OAK CIRCLE, BESSEMER, AL | OVERSEE FINANCIAL ACCOUNTS | POA | 1 HRS/MO, 0 HR/MO DURING TRADING HRS | INVESTMENT RELATED | NO COMPENSATION | I AM A CO-POA WITH MY BROTHER AND WE OVERSEE ME MOTHERS INVESTMENT ACCOUNTS. MY MOTHER HANDLES ALL BILL PAYING AND CHECK WRITING. BANK INSURANCE SECURITIES ASSOCIATION | START 3/1/2016| WASHINGTON, DC | INDUSTRY THOUGHT LEADER | BOARD MEMEBER | 1 HRS/MO, 0 DURING TRADING HRS | NOT INVESTMENT RELATED | NO COMPENSATION | SERVE AS BOARD MEMBER ADVISING BISA. DUTIES INCLUDE AMONG OTHER ITEMS ATEENDING BOARD MEETINGS.
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).
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
October 3, 2021 - Present
SYNOVUS SECURITIES, INC.
Office #1: 110 Jefferson St, Newnan, GA 30263RIA
BD
CRD#: 14023
Newnan, GA
Current
October 1, 2021 - Present
SYNOVUS SECURITIES, INC.
Office #1: 110 Jefferson St, Newnan, GA 30263RIA
BD
CRD#: 14023
Newnan, GA
Past
December 11, 2019 - March 2, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
Atlanta, GA
Past
December 10, 2019 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
ATLANTA, GA
Past
October 11, 2016 - October 13, 2021
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
ATLANTA, GA
Past
July 22, 2011 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ATLANTA, GA
Past
July 20, 2011 - October 13, 2021
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
April 23, 2003 - July 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
JEFFERSON, GA
Past
October 1, 2000 - July 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
JEFFERSON, GA
Past
August 19, 1992 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
October 21, 1987 - August 20, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
Alabama(10/1/2021)
IAR
Alabama(10/6/2021)
RR
Alaska(10/1/2021)
IAR
Alaska(8/8/2023)
RR
Arizona(10/1/2021)
IAR
Arizona(10/13/2021)
RR
Arkansas(10/1/2021)
RR
California(10/1/2021)
IAR
California(10/4/2021)
RR
Colorado(10/1/2021)
IAR
Colorado(10/6/2021)
RR
Connecticut(10/1/2021)
IAR
Connecticut(10/4/2021)
RR
Delaware(5/5/2023)
RR
District of Columbia(10/1/2021)
IAR
District of Columbia(10/26/2021)
RR
Florida(10/1/2021)
IAR
Florida(10/4/2021)
RR
Georgia(10/5/2021)
IAR
Georgia(10/5/2021)
RR
Hawaii(10/1/2021)
IAR
Hawaii(10/22/2021)
RR
Idaho(10/1/2021)
IAR
Idaho(11/18/2021)
RR
Illinois(10/1/2021)
IAR
Illinois(10/4/2021)
RR
Indiana(10/1/2021)
IAR
Indiana(10/4/2021)
RR
Iowa(10/1/2021)
RR
Kansas(10/1/2021)
IAR
Kansas(10/4/2021)
RR
Kentucky(10/1/2021)
IAR
Kentucky(10/11/2021)
RR
Louisiana(10/1/2021)
IAR
Louisiana(10/11/2021)
RR
Maine(10/1/2021)
IAR
Maine(12/22/2023)
RR
Maryland(10/1/2021)
IAR
Maryland(11/2/2021)
RR
Massachusetts(10/1/2021)
IAR
Massachusetts(11/4/2021)
RR
Michigan(10/1/2021)
IAR
Michigan(10/5/2021)
RR
Minnesota(10/1/2021)
IAR
Minnesota(5/27/2022)
RR
Mississippi(10/1/2021)
IAR
Mississippi(10/6/2021)
RR
Missouri(10/1/2021)
RR
Montana(10/1/2021)
IAR
Montana(10/4/2021)
RR
Nebraska(10/1/2021)
IAR
Nebraska(11/5/2021)
RR
Nevada(10/1/2021)
IAR
Nevada(10/8/2021)
RR
New Hampshire(1/31/2025)
RR
New Jersey(10/1/2021)
IAR
New Jersey(10/13/2021)
RR
New Mexico(10/1/2021)
IAR
New Mexico(10/4/2021)
RR
New York(10/1/2021)
IAR
New York(10/24/2021)
RR
North Carolina(10/1/2021)
IAR
North Carolina(10/5/2021)
RR
Ohio(10/3/2021)
IAR
Ohio(10/3/2021)
RR
Oklahoma(10/6/2021)
IAR
Oklahoma(10/6/2021)
RR
Oregon(10/1/2021)
IAR
Oregon(10/4/2021)
RR
Pennsylvania(10/1/2021)
IAR
Pennsylvania(10/4/2021)
RR
Rhode Island(3/3/2025)
RR
South Carolina(10/1/2021)
IAR
South Carolina(10/11/2021)
RR
South Dakota(4/1/2024)
IAR
South Dakota(1/31/2025)
RR
Tennessee(10/1/2021)
RR
Texas(10/1/2021)
IAR
Texas(10/4/2021)
RR
Utah(10/1/2021)
IAR
Utah(10/4/2021)
RR
Vermont(10/1/2021)
RR
Virginia(10/1/2021)
IAR
Virginia(10/5/2021)
RR
Washington(10/1/2021)
IAR
Washington(10/20/2021)
RR
West Virginia(10/1/2021)
IAR
West Virginia(10/8/2021)
RR
Wisconsin(10/1/2021)
IAR
Wisconsin(4/21/2022)
RR
Wyoming(10/1/2021)
IAR
Wyoming(10/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/22/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | 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 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
