DM
Daniel P. Mccarthy
APOLLON WEALTH MANAGEMENT
Braintree, MA 02184
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CRD#: 2273239
DM
Professional summary
Daniel Paul Mccarthy is a registered financial advisor currently at APOLLON WEALTH MANAGEMENT, LLC located in Braintree, Massachusetts.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Daniel has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 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.
- THE QUINCY GROUP, INC; POSITION: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2002 ADDRESS: 25 Braintree Hill Office Park, Suite 408, Braintree MA 02184, United States DESCRIPTION: Maintain client insurance policies and should client have insurance needs, discuss options and opportunities available to them. - DAN MCCARTHY Trust; POSITION: Trustee NATURE: Family Irrevocable Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/02/2016 ADDRESS: 25 Braintree Hill Office Park, Suite 411, Braintree MA 02184, United States DESCRIPTION: Trustee of my parents Irrevocable trust. - Lionheart Behavioral Health Services, LLC; Owner; Outpatient Counseling and Therapy clinic for substance abuse and mental health treatment; 770 Broadway Raynham, MA 02767; Start Date 7/1/2024; Hrs/Mth 10; Hrs/Mth during Trading 0; Investor and part owner of outpatient substance abuse and mental health services company.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Paul 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
February 23, 2024 - Present
APOLLON WEALTH MANAGEMENT, LLC
Office #1: 25 Braintree Hill Office Park, Braintree, MA 02184RIA
CRD#: 291902
Braintree, MA
Past
June 8, 2015 - March 6, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
BRAINTREE, MA
Past
May 29, 2015 - March 6, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
BRAINTREE, MA
Past
February 2, 2010 - June 3, 2015
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
QUINCY, MA
Past
February 1, 2010 - June 3, 2015
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
QUINCY, MA
Past
July 14, 2004 - February 2, 2010
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
QUINCY, MA
Past
July 9, 2004 - February 2, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
QUINCY, MA
Past
June 26, 2002 - July 16, 2004
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
QUINCY, MA
Past
June 26, 2002 - July 16, 2004
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
February 23, 2002 - July 15, 2002
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
NEWTON CENTER, MA
Past
January 20, 1999 - June 26, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
January 6, 1997 - January 20, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 11, 1995 - January 16, 1997
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
October 23, 1992 - October 25, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 23, 1992 - October 25, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)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.Highlighted states indicate IAR registrations
IAR
Massachusetts(3/12/2024)
IAR
New Hampshire(2/23/2024)
IAR
Texas(2/23/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464
Mailing Address
Phone number
(843) 579-0018
Established
Firm type
Fiscal year end
# of Employees
179
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,798 |
| AUM (Assets Under Management) | $ 7,720,756,861 |
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
APOLLON WEALTH MANAGEMENT, LLC
CRD#: 291902Braintree, MA 02184TRUST BUT VERIFY
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