James F. Mccarthy

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CRD#: 3275453

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James F Mccarthy, who also goes by James Francis Mccarthy Jr, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Francis Mccarthy Jr

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.

President of Financial Resource Assoc Inc an income tax preparation company Also licensed to sell life insurance and annuities Registered Representative; Leigh Baldwin & Co., LLC; investment related: Yes; Location: 112 Albany St. Cazenovia, NY 13035; 112 Albany St. Cazenovia, NY 13035; Responsibilities Duties: Oversight of brokerage accounts and placing trades when appropriate.; Start date with business: 2007-01-03; Hours devoted to business during trading hours: 8; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 5;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 16, 2021 - January 20, 2025

NEWMAN LADD CAPITAL ADVISORS, LLC.

RIA

CRD#: 129860

CAMILLUS, NY

Past

January 3, 2007 - November 22, 2023

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAMILLUS, NY

Past

December 16, 2003 - December 31, 2006

NEWMAN, LADD CAPITAL, INC.

CRD#: 38841

SYRACUSE, NY

Past

March 16, 2001 - January 21, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

August 14, 1999 - November 20, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

NEWMAN LADD CAPITAL ADVISORS, LLC.

CRD#: 129860 / SEC#: 801-79297

RIA

Registered Investment Advisory firm - (3/6/2014 Approved)

Florida

Registered Investment Advisory firm - (11/7/2014 Terminated)

New York

Registered Investment Advisory firm - (11/7/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 11/16/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/24/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/12/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NEWMAN LADD CAPITAL ADVISORS, LLC.

CRD#: 129860 / SEC#: 801-79297

RIA

Registered Investment Advisory firm - (3/6/2014 Approved)

Florida

Registered Investment Advisory firm - (11/7/2014 Terminated)

New York

Registered Investment Advisory firm - (11/7/2014 Terminated)

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Contact information

Main Address

5100 West Genesee Street, Camillus, NY 13031

Mailing Address

Phone number

(315) 299-8979

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II (1/27/2025)

Regulatory assets under management

Total Number of Accounts	355
AUM (Assets Under Management)	$ 93,081,057

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

James F. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

NEWMAN, LADD CAPITAL, INC.

NEW ENGLAND SECURITIES

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

NEWMAN LADD CAPITAL ADVISORS, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/16/2004

Series 66

Date: 8/24/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/16/2009

Series 6

Date: 8/12/1999

Current Firm

NEWMAN LADD CAPITAL ADVISORS, LLC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWMAN LADD CAPITAL ADVISORS, LLC.

TRUST BUT VERIFY

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