Thomas William Mccarthy Iv
Professional Summary
Thomas William Mccarthy IV, who also goes by Tom Mccarthy, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Mccarthy
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
JOHNSTONE BROKERAGE SERVICES, LLC
Contact Information
Main Address
1906 Stanley Gault Parkway, Louisville, KY 40223Mailing Address
117 San Augustine Street, Center, TX 75935Phone Number
(936) 340-2929Established
Texas since 12/31/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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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State Registrations and Notice Filings
(5/4/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2001About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 2013About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas William Mccarthy IV's CRS (Customer Relationship Summary).
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