John B. Mccarthy

JACOBI CAPITAL MANAGEMENT

Pittston, PA 18640

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CRD#: 4344753

Professional summary

John Bernard Mccarthy, CFP® is a registered financial advisor currently at JACOBI CAPITAL MANAGEMENT, LLC located in Pittston, Pennsylvania and LPL FINANCIAL LLC located in Pittston, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. 10/6/15 - Jacobi Wealth Advisors/DBA for LPL Business (entity for LPL business) - 50% TIME SPENT - Wilkes Barre, PA 2. 10/26/2015 - Jacobi Capital Management, LLC - INV REL - 620 Baltimore Drive, Suite 400, Wilkes Barre, PA 18702 - Registered Investment Advisor DBA - START 09/15/15 - 50% TIME SPENT - IAR 3. 10/26/2015 - Jacobi Capital Management, LLC - INV REL - 620 Baltimore Drive Suite 400 Wilkes Barre PA 18702 - Registered Investment Advisor Hybrid - START 09/15/15 - 50% TIME SPENT - IAR Provide Advice For a Fee 4. 04/25/2024 - Dallas Borough Council - Other - Public Office - Dallas Borough Council Member - Not Investment Related - 25 Main Street, Dallas, PA 18612 - Start Date 01/01/2024 - 4 Hours per Month/ 0 Hours During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Bernard Mccarthy'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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

October 23, 2015 - Present

JACOBI CAPITAL MANAGEMENT, LLC

Office #1: 154 Enterprise Way, Pittston, PA 18640

RIA

CRD#: 147663

Pittston, PA

Current

October 19, 2015 - Present

LPL FINANCIAL LLC

Office #1: 154 Enterprise Way, Pittston, PA 18640

RIA

CRD#: 6413

Pittston, PA

Past

July 13, 2009 - March 28, 2014

M&T SECURITIES, INC.

RIA

CRD#: 17358

WILKES-BARRE, PA

Past

September 14, 2007 - March 28, 2014

M&T SECURITIES, INC.

CRD#: 17358

WILKES-BARRE, PA

Past

June 28, 2005 - August 8, 2006

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

March 1, 2001 - May 21, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

JACOBI CAPITAL MANAGEMENT, LLC

JACOBI CAPITAL MANAGEMENT, LLC | JACOBI WEALTH ADVISORS

CRD#: 147663 / SEC#: 801-69398

RIA

Registered Investment Advisory firm - (8/7/2008 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Pennsylvania
(10/19/2015)

IAR

Pennsylvania
(10/23/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/9/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/28/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

JACOBI CAPITAL MANAGEMENT, LLC

JACOBI CAPITAL MANAGEMENT, LLC | JACOBI WEALTH ADVISORS

CRD#: 147663 / SEC#: 801-69398

RIA

Registered Investment Advisory firm - (8/7/2008 Approved)

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Contact information

Main Address

154 Enterprise Way, Pittston, PA 18640

Mailing Address

Phone number

(570) 826-1801

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JACOBI CAPITAL MANAGEMENT LLC FORM ADV PART 2A & APPENDIX (3/31/2025)

Regulatory assets under management

Total Number of Accounts	6,314
AUM (Assets Under Management)	$ 2,190,387,155

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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Firm Stability Insights

John B. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Bernard Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

M&T SECURITIES, INC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

JACOBI CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2009

Series 63

Date: 4/5/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/28/2001

FINRA

Current Firm

JACOBI CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JACOBI CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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