Keith C. Mccarthy

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CRD#: 2207870

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.

Keith Charles Mccarthy was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 1992. Keith had worked at 8 firms and has passed the Series 65, Series 63, Series 25, Series 3, Series 55, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 1, 2020 - June 1, 2023

ONE DAY IN JULY LLC

RIA

CRD#: 284335

Essex, CT

Past

April 22, 2004 - March 3, 2006

R.J. MURPHY & ASSOCIATES, LLC

CRD#: 112238

NEW YORK, NY

Past

August 8, 2000 - April 19, 2004

BOSTON PARTNERS SECURITIES, L.L.C.

CRD#: 2998

BOSTON, MA

Past

April 17, 2000 - September 8, 2000

PRECISION TRADING GROUP, LLC

CRD#: 47858

STAMFORD, CT

Past

September 20, 1999 - November 19, 1999

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

July 3, 1996 - October 15, 1999

BOSTON PARTNERS SECURITIES, L.L.C.

CRD#: 2998

BOSTON, MA

Past

July 8, 1995 - June 6, 1996

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

June 21, 1993 - June 16, 1995

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

February 24, 1992 - March 18, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

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".

ONE DAY IN JULY LLC

ONE DAY IN JULY LLC | SHELBURNE FIDUCIARY PARTNERS, LLC

CRD#: 284335 / SEC#: 801-113839

RIA

Registered Investment Advisory firm - (8/15/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (9/7/2018 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/7/2018 Terminated)

Vermont

Registered Investment Advisory firm - (9/11/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/19/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 25

Date: 11/4/2004

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 3

Date: 8/10/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 10/29/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/21/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/11/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/29/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ONE DAY IN JULY LLC

ONE DAY IN JULY LLC | SHELBURNE FIDUCIARY PARTNERS, LLC

CRD#: 284335 / SEC#: 801-113839

RIA

Registered Investment Advisory firm - (8/15/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (9/7/2018 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/7/2018 Terminated)

Vermont

Registered Investment Advisory firm - (9/11/2018 Terminated)

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Contact information

Main Address

77 College St. #3a, Burlington, VT 05401

Mailing Address

Phone number

(802) 503-8280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - ONE DAY IN JULY LLC (FIRM BROCHURE) (9/4/2025)

Regulatory assets under management

Total Number of Accounts	3,737
AUM (Assets Under Management)	$ 1,089,449,663

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.

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Advisor Monitoring

Firm Stability Insights

Keith C. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

R.J. MURPHY & ASSOCIATES, LLC

BOSTON PARTNERS SECURITIES, L.L.C.

PRECISION TRADING GROUP, LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BOSTON PARTNERS SECURITIES, L.L.C.

GRUNTAL & CO., L.L.C.

TD AMERITRADE, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ONE DAY IN JULY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/2020

Series 63

Date: 3/5/1992

Series 25

Date: 11/4/2004

Series 3

Date: 8/10/2001

Series 55

Date: 10/29/1999

Series 7

Date: 2/21/1992

Series 24

Date: 2/11/2005

Series 26

Date: 10/29/1999

Current Firm

ONE DAY IN JULY LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONE DAY IN JULY LLC

TRUST BUT VERIFY

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