John G. Mccarthy

GALLATIN FINANCIAL ADVISORS

WEXFORD, PA 15090

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CRD#: 3077750

Professional summary

John George Mccarthy, AIF® is a registered financial advisor currently at GALLATIN FINANCIAL ADVISORS, LLC located in Wexford, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 7/2018 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John George 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 21, 2024 - Present

GALLATIN FINANCIAL ADVISORS, LLC

Office #1: 101 Bradford Road Suite 310, Wexford, PA 15090

RIA

CRD#: 164901

WEXFORD, PA

Past

June 29, 2023 - January 19, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SEWICKLEY, PA

Past

November 15, 2018 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SEWICKLEY, PA

Past

September 28, 2018 - January 19, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SEWICKLEY, PA

Past

March 16, 2001 - October 17, 2002

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 25, 2000 - April 4, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 25, 2000 - April 4, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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

California
(3/21/2024)

IAR

Pennsylvania
(1/21/2024)

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: 11/12/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/26/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/24/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GALLATIN FINANCIAL ADVISORS, LLC

GALLATIN FINANCIAL ADVISORS, LLC | GALLATIN INVESTMENTS, LLC | GALLATIN FINANCIAL, LLC

CRD#: 164901 / SEC#:

California

Registered Investment Advisory firm - (3/21/2024 Approved)

Illinois

Registered Investment Advisory firm - (8/6/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - (1/11/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (8/7/2012 Approved)

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Contact information

Main Address

Mequon, WI

Mailing Address

Phone number

(773) 332-0499

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	207
AUM (Assets Under Management)	$ 43,270,632

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

John G. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John George Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OSAIC WEALTH, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/2018

Series 65

Date: 7/26/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2018

Series 6

Date: 7/24/2000

Current Firm

GALLATIN FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GALLATIN FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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