Tony E. Dalton

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

Marysville, OH 43040

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CRD#: 2295472

Professional summary

Tony Edward Dalton, who also goes by Tony E Dalton, is a registered financial advisor currently at MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC located in Marysville, Ohio.

Tony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Tony has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony E Dalton

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.

Fixed insurance sales; as of 4/1/2021; 2% of time spent during business hours; Conducted at branch location; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tony Edward Dalton's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 21, 2023 - Present

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

Office #1: 127 W. 5th Street, Marysville, OH 43040

RIA

CRD#: 328478

Marysville, OH

Past

March 21, 2021 - December 31, 2023

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

MARYSVILLE, OH

Past

July 21, 2017 - December 31, 2023

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MARYSVILLE, OH

Past

March 9, 2004 - May 21, 2015

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CHARLOTTE, NC

Past

August 23, 2000 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

DUBLIN, OH

Past

August 23, 2000 - March 6, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CHARLOTTE, NC

Past

December 16, 1992 - January 19, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 16, 1992 - January 19, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478 / SEC#: 801-128995

RIA

Registered Investment Advisory firm - (3/4/2024 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

Ohio
(12/21/2023)

IAR

Texas
(12/22/2023)

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

Series 63

Date: 12/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/11/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/26/2004

General Securities Principal Examination

Current Firm

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478 / SEC#: 801-128995

RIA

Registered Investment Advisory firm - (3/4/2024 Approved)

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Contact information

Main Address

127 W. 5th Street, Marysville, OH 43040

Mailing Address

Phone number

(937) 644-0351

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A MARCH 2025 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	2,156
AUM (Assets Under Management)	$ 641,806,550

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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Tony E. Dalton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tony Edward Dalton's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2004

Series 6

Date: 12/11/1992

Series 24

Date: 10/26/2004

Current Firm

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

TRUST BUT VERIFY

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