Michael J. Mccarthy

PALLAS CAPITAL ADVISORS

Braintree, MA 02184

Some features on this profile are disabled

CRD#: 3179054

Professional summary

Michael Joseph Mccarthy, who also goes by Michael J Mccarthy, is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Braintree, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael J 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.

1. Mr. McCarthy is dually-registered with Pallas Capital Advisors, LLC ("Pallas") and Purshe Kaplan Sterling Investments ("PKS"). Mr. McCarthy has served as an investment advisor representative for Pallas and a registered representative with PKS since 06/2023. Business is conducted from 45 Braintree Hill Office Park, Suit 201, Braintree, MA, 02184. Approximately 90% of Mr. McCarthy's time is for services as an investment advisor representative and the balance as a registered representative. 2. Licensed Insurance Professional; same address; less than 10% of business time. 3. Fixed Insurance. Investment Related. At registered location. Fixed Insurance Sales. Agent. 8/2023. Hrs/month 5 all during trading hours. Selling fixed Insurance. 4. PKS Financial. Investment Related. At registered location. Fixed Insurance Sales. Agent. 8/2023. Hrs/month 5 all during trading hours. Selling fixed Insurance.

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®

None

Experience

Current

June 26, 2023 - Present

PALLAS CAPITAL ADVISORS, LLC

Office #1: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

RIA

CRD#: 310327

Braintree, MA

Current

August 15, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

CRD#: 35747

ALBANY, NY

Past

July 28, 2020 - June 30, 2023

MAYFLOWER ADVISORS

RIA

CRD#: 307857

BOSTON, MA

Past

July 17, 2020 - June 26, 2023

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

BOSTON, MA

Past

February 27, 2015 - July 21, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

BOSTON, MA

Past

February 27, 2015 - July 21, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

BOSTON, MA

Past

July 5, 2007 - March 3, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WELLESLEY HILLS, MA

Past

June 12, 2007 - March 3, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WELLESLEY HILLS, MA

Past

February 1, 2006 - May 10, 2007

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

BRAINTREE, MA

Past

May 5, 2003 - May 12, 2005

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

June 21, 1999 - May 19, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 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.

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

Florida
(2/8/2024)

IAR

Massachusetts
(6/26/2023)

Massachusetts
(8/15/2023)

Pennsylvania
(12/19/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/13/2003

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: 5/1/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

Mailing Address

Phone number

(781) 971-5052

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PALLAS DISCLOSURE BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	3,780
AUM (Assets Under Management)	$ 3,195,166,308

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MAYFLOWER ADVISORS

PRIVATE CLIENT SERVICES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

COMMONWEALTH FINANCIAL NETWORK

GLEACHER & COMPANY SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PALLAS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2007

Series 63

Date: 5/13/2003

SIE

Date: 10/1/2018

Series 7

Date: 5/1/2003

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALLAS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors