Felix M. Mccarthy
Professional summary
Felix Michael Mccarthy is a registered financial advisor currently at MOORS & CABOT, INC. located in Huntington Bay, New York.
Felix is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Felix has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, Series 99TO, SIE, Series 15, Series 5, Series 000, Series 1, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Felix Michael Mccarthy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Felix Michael Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2015 - Present
MOORS & CABOT, INC.
July 10, 2015 - Present
MOORS & CABOT, INC.
Office #1: 645 East Missouri Avenue Suite 170, Phoenix, AZ 85012April 7, 2010 - December 31, 2015
CARTHAGE GROUP INC.
January 30, 1987 - September 11, 2015
CARTHAGE GROUP INC.
June 12, 1986 - February 9, 1987
LCP CAPITAL CORP.
September 23, 1985 - June 17, 1986
CARDELL & ASSOCIATES, INCORPORATED
November 22, 1977 - October 1, 1979
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
June 26, 1974 - November 8, 1974
HAYDEN STONE INC.
December 5, 1972 - July 24, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
July 29, 1971 - December 22, 1972
DEAN WITTER & CO. INCORPORATED
October 23, 1968 - August 26, 1971
E. F. HUTTON & COMPANY INC
October 11, 1968 - October 25, 1985
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/10/2015)
(7/10/2015)
(7/10/2015)
(7/10/2015)
(7/10/2015)
(7/10/2015)
(7/10/2015)
(7/10/2015)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 6/12/1984
Foreign Currency Options ExaminationSeries 5
Date: 4/28/1983
Interest Rate Options ExaminationSeries 000
Date: 10/11/1968
General Securities Principal ExaminationSeries 1
Date: 10/11/1968
Registered Representative ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
