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MM

Michael J. Mccarthy

CETERA INVESTMENT ADVISERS
Myrtle Beach, SC 29572
Some features on this profile are disabled
CRD#: 2355638
MM

Professional summary

Michael Joseph Mccarthy, CFP®, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Myrtle Beach, South Carolina and CETERA WEALTH SERVICES, LLC located in Myrtle Beach, South Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?
Retirement Planning
Estate Planning
Insurance Planning
Education Planning
Comprehensive Financial Planni...
Investment Planning
What is your minimum asset requirement?
1
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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Mccarthy'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®
CFP®

Certified Financial Planner

Start date: 2011

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

February 15, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9776 Kings Road Suite B, Myrtle Beach, SC 29572Office #2: 800 High Meadows Drive, Pickens, SC 29671
RIA
CRD#: 105644
Myrtle Beach, SC
Current

February 15, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 9776 Kings Road, Suite B, Myrtle Beach, SC 29572
BD
CRD#: 13572
Myrtle Beach, SC
Past

January 4, 2019 - February 21, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
BOCA RATON, FL
Past

January 4, 2019 - February 21, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
BOCA RATON, FL
Past

April 26, 2016 - January 17, 2019

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
FLORHAM PARK, NJ
Past

September 6, 2007 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
FLORHAM PARK, NJ
Past

September 10, 1997 - January 17, 2019

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
FLORHAM PARK, NJ
Past

November 3, 1994 - September 10, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 3, 1994 - September 10, 1997

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

June 17, 1993 - November 10, 1994

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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.
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
Alaska
(2/15/2024)
RR
Arizona
(2/15/2024)
RR
California
(2/15/2024)
RR
Colorado
(2/15/2024)
RR
Connecticut
(2/15/2024)
RR
Delaware
(12/23/2024)
RR
District of Columbia
(2/15/2024)
RR
Florida
(2/15/2024)
RR
Georgia
(2/15/2024)
RR
Illinois
(3/20/2025)
RR
Indiana
(2/15/2024)
RR
Maryland
(2/15/2024)
RR
Massachusetts
(2/15/2024)
RR
Michigan
(2/29/2024)
RR
New Jersey
(2/15/2024)
RR
New York
(2/15/2024)
RR
North Carolina
(2/27/2024)
RR
Pennsylvania
(2/15/2024)
RR
South Carolina
(2/15/2024)
IAR
South Carolina
(2/15/2024)
RR
Tennessee
(2/15/2024)
RR
Texas
(2/15/2024)
IAR
Texas
(2/15/2024)
RR
Vermont
(2/15/2024)
RR
Virginia
(2/15/2024)
RR
Washington
(2/15/2024)
RR
West Virginia
(2/15/2024)
RR
Wisconsin
(2/15/2024)
RR
Wyoming
(2/15/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/4/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/28/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/7/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/16/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
PREMIUM
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Myrtle Beach, SC 29572

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