AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TM

Thomas W. Mccarthy

JOHNSTONE BROKERAGE SERVICES
Louisville, KY 40223
Some features on this profile are disabled
CRD#: 4331512
TM

Professional summary

Thomas William Mccarthy IV, who also goes by Tom Mccarthy, is a registered financial professional currently at JOHNSTONE BROKERAGE SERVICES, LLC located in Louisville, Kentucky.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas William Mccarthy IV'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

May 4, 2026 - Present

JOHNSTONE BROKERAGE SERVICES, LLC

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223Office #2: 1906 Stanley Gault Parkway, Louisville, KY 40223
BD
CRD#: 301394
Louisville, KY
Past

January 20, 2023 - November 6, 2025

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
OMAHA, NE
Past

January 20, 2023 - November 6, 2025

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA
Past

August 15, 2014 - November 14, 2022

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
Austin, TX
Past

December 4, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

April 1, 2008 - November 19, 2013

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
CHICAGO, IL
Past

July 2, 2003 - November 14, 2022

ASSETMARK, INC.

RIA
CRD#: 109018
Austin, TX
Past

September 6, 2001 - April 1, 2008

ASSETMARK CAPITAL CORPORATION

BD
CRD#: 37583
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
Texas
(5/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/4/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/5/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/11/2013
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

JB
JOHNSTONE BROKERAGE SERVICES, LLC
JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394 / SEC#: , 8-70335

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1906 Stanley Gault Parkway, Louisville, KY 40223
Mailing Address
117 San Augustine Street, Center, TX 75935
Phone number
(936) 340-2929
Established
Texas since 12/31/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPL FINANCIAL PARTNERS, LLCPARENT COMPANY
ARCH PORTFOLIO TRUST, LLCMEMBER.
NAVEED, HASNAINFINOP7004810
PULLIAM, MICHELLE CARROLLCHIEF COMPLIANCE OFFICER4013218
SMITH, ROY THOMASMANAGING PRINCIPAL2542940

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.

Company Information

JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394Louisville, KY 40223

TRUST BUT VERIFY

Monitor Thomas Mccarthy

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

TD
Trystan DowneyAdvisorCheck Check Mark
CERITY PARTNERS LLC
IAR
LOUISVILLE, KY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.