EM
Eugene B. Mccarthy
KESTRA PRIVATE WEALTH SERVICES
Melbourne, FL 32901
Some features on this profile are disabled
CRD#: 3060295
EM
Professional summary
Eugene Brendan Mccarthy III, who also goes by Brendan Mccarthy, E Brendan Mccarthy, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Melbourne, Florida and KESTRA INVESTMENT SERVICES, LLC located in Melbourne, Florida.
Eugene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Eugene has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brendan Mccarthy | E Brendan 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.
Business Name: Three Bridges Planning Inv Rel: Yes Address: 304 S. Harbor City Blvd., Suite 200 Melbourne FL 32901 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Posi: Director of Wealth Management Start Date: 5/1/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Providing investment and securities advice to clients Business Name: Candlelighters of Brevard Inv Rel: No Address: 436 Fifth Avenue, Suite 1 Indialantic FL 32903 NOB: Board Position (Board of Directors, Board of Trustees, etc.) Posi: President Start Date: 1/5/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Board leader for long term, strategic planning. Not involved in day to day operations. Business Name: Holy Name of Jesus Endowment Development Committee Inv Rel: No Address: 3050 N. Highway A1A Indialantic FL 32903 NOB: Board Position (Board of Directors, Board of Trustees, etc.) Posi: Committee Member Start Date: 2/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Help plan and allocate funds toward school education goals and scholarships. Business Name: Eau Gallie Yacht Club Foundation Inv Rel: No Address: 100 Datura Drive Indian Harbor Beach FL 32937 NOB: Board Position (Board of Directors, Board of Trustees, etc.) Posi: Board member Start Date: 3/9/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Promote the foundation and help with fundraisers as they arise Business Name: CANDLELIGHTERS OF BREVARD POSI: President / Co-Executive Director NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 8 START DATE: 01/17/2022 ADDRESS: 436 Fifth Avenue, Suite 1, Indialantic FL 32903 DESC: Board leader for long term, strategic planning. Co-Executive Director for external events the organization needs me to attend. Business Name: EAU GALLIE YACHT CLUB BOARD OF DIRECTORS POSI: Governor (Board member) NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/27/2023 ADDRESS: 100 Datura Lane, Indian Harbor Beach FL 32937 DESC: There was a recent death on the Board and I was asked to fillhis term until March of 2024. I will attend Board meetings and vote on the issues of the Club. Business Name: FSUGAVIATION LLC POSITION: Member NATURE: Sharing costs of an airplane for pleasure. Not business. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/08/2024 ADDRESS: 530 Franklyn Avenue, Indialantic FL 32903, United States DESCRIPTION: No duties or obligations
CRS (Client Relationship Summary) - RIA
Click below to view Eugene Brendan Mccarthy III'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
May 7, 2019 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 304 S. Harbor City Blvd. Suite 200, Melbourne, FL 32901RIA
CRD#: 155193
Melbourne, FL
Current
May 1, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 304 S. Harbor City Blvd. Suite 200, Melbourne, FL 32901BD
CRD#: 42046
Melbourne, FL
Past
October 28, 2010 - May 10, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MELBOURNE, FL
Past
October 28, 2010 - May 10, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELBOURNE, FL
Past
January 30, 2007 - November 4, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
MELBOURNE, FL
Past
January 29, 2007 - November 4, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MELBOURNE, FL
Past
February 21, 2006 - February 7, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SUNTREE, FL
Past
February 21, 2006 - February 7, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SUNTREE, FL
Past
August 13, 1998 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
SUNTREE, FL
Past
June 26, 1998 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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
Arizona(8/6/2025)
RR
California(5/1/2019)
RR
Colorado(12/12/2024)
RR
Delaware(5/29/2019)
RR
Florida(5/1/2019)
IAR
Florida(5/7/2019)
RR
Georgia(5/1/2019)
RR
Maine(5/1/2019)
RR
Maryland(7/18/2019)
RR
Massachusetts(5/1/2019)
RR
Michigan(5/1/2019)
RR
Missouri(5/29/2019)
RR
New Hampshire(5/15/2019)
RR
New Jersey(5/1/2019)
RR
New York(5/1/2019)
RR
North Carolina(5/1/2019)
RR
Ohio(5/1/2019)
RR
Oregon(10/14/2019)
RR
Pennsylvania(5/1/2019)
RR
South Carolina(5/1/2019)
RR
South Dakota(3/30/2023)
RR
Tennessee(5/1/2019)
RR
Texas(5/1/2019)
IAR
Texas(8/22/2023)
RR
Utah(3/8/2022)
RR
Virginia(5/1/2019)
RR
Washington(11/1/2023)
RR
Wisconsin(9/24/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
