James Edward Mccarthy
Professional Summary
James Edward Mccarthy is a registered financial advisor currently at THE CLARUS GROUP located in Houston, Texas. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. James has worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 31, PC and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
55 years in the financial services industry
Current & Past Employments
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Current Firm
CLARUS WEALTH GROUP | THE CLARUS GROUP, INC. | THE CLARUS GROUP
Contact Information
Main Address
520 Post Oak Blvd. Suite 750, Houston, TX 77027Phone Number
(713) 621-3500# of Employees
14SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,786AUM (Assets Under Management)
$1,103,793,878Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/04/2026 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CLARUS WEALTH GROUP | THE CLARUS GROUP, INC. | THE CLARUS GROUP
State Registrations and Notice Filings
(9/16/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Oct 1977Series 1 — Registered Representative Examination
Passed Jan 1971Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Edward Mccarthy's CRS (Customer Relationship Summary).
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