James P. Mccarthy
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CRD#: 4683831
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 Paul Mccarthy, CFP® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
BN: MWS TAX PARTNERS, LLC POSI: owner - NOB: tax preparation - INV REL: No - #OF HRS: 5 - SEC TRAD HRS: 2 - START DATE: 08/20/2013 - ADDR: 54 Marshall Ave, Rockaway NJ 07866-2910 ***DBA: DIRECTIONAL WEALTH MANAGEMENT, LLC BN: DWM BENEFITS POSI: Owner NOB: Insurance (Life, health, disability, LTC) INV REL: No #OF HRS: 10 SEC TRAD HRS: 5 START DATE: 01/10/2010 ADDR: 141 W Main Street, Rockaway NJ 07866 DESC: market &manage various insurance (life, health, disability, LTC) vehicles BN: MRS. WILSON'S TREATMENT SERVICES FOR WOMEN POS: Board Member NOB: Member of Board of Directors of Alfre, Inc. DBA Mrs. Wilson's Treatment Services for Women INV REL: No #OF HRS: 5 SEC TRAD HRS: 0 START DATE: 11/18/2019 ADDR: 56 Mount Kemble Ave, Morristown NJ 07960 DESC: Serve on Board of Directors BN: DIRECTIONAL WEALTH MANAGEMENT, LLC POS: advisor NOB: SECURITIES AMERICA ADVISORS INV REL: Y #OF HRS: 120 SEC TRAD HRS: 7 START DATE: 09/01/2016 ADDR: 141 W Main St, Rockaway NJ 07866 DESCR: provide INV advisory services BN: DIRECTIONAL PROPERTIES, LLC POS: Owner NOB: Own the office bldng that houses my practice INV REL: N #OF HRS: 5 SEC TRAD HRS: 0 START DATE: 09/20/2016 ADDR: 141 W Main Street, Rockaway NJ 07866-2910 DESC: Own office bldng that houses my practice BN: DIRECTIONAL WEALTH MANAGEMENT, LLC POS: Producer NOB: Insurance INV REL:Y #OF HRS: 160 SEC TRAD HRS: 130 START DATE: 05/02/2022 ADDR: 141 W Main Street, Rockaway NJ 07866 DESC: Producer BN:KESTRA ADVISORY SERVICES, LLC POS: RIA NOB: INV advisory srvcs thru Kestra Advisory Srvcs, LLC INV REL:Y #OF HRS: 160 SEC TRAD HRS: 130 START DATE: 05/02/2022 ADDR: 5707 SW Boulevard, Bldg 2, Ste 400, Austin TX 78735 DESC: RIA BN: DIRECTIONAL PROPERTIES POS: Owner NOB: Real Estate INV REL:N #OF HRS: 10 SEC TRAD HRS: 0 START DATE: 05/02/2022 ADDR: 141 W Main Street, Rockaway NJ 07866 DESC: property owner BN: DIRECTIONAL BENEFITS POS: representative NOB: Insurance INV REL: Yes #OF HOURS: 5 SEC TRAD HOURS: 5 START DATE: 01/10/2010 ADDR: 141 W Main Street, Rockaway NJ 07866 DESC: market insurance products - specifically life, health, disability and LTC for individuals and groups BN: MWS TAX PARTNERS, LLC POS: Owner NOB: Tax/Accounting/CPA INV REL: No #OF HRS: 5 SEC TRAD HRS: 5 START DATE: 08/20/2013 ADDRESS: 54 MARSHALL AVE, Rockaway NJ 07866 DESC: income tax preparation BN: MRS. WILSON'S TREATMENT SERVICES POS: Board Member NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No #OF HOURS: 5 SEC TRAD HRS: 0 START DATE: 11/18/2019 ADDR: 56 Mt Kemble Ave, Morristown NJ 07960 DESC: participate in Board mtngs and fundraising activities BN: MCCARTHY WEALTH SOLUTION POS: Owner NOB: INV advisory services through Kestra Advisory Services, LLC INV REL:N #OF HRS: 40 SEC TRAD HRS: 20 START DATE: 01/04/2010 ADDR: 54 Marshall Ave, Rockaway, NJ, USA, 54, Rockaway NJ 07866 DESC: Provide financial planning and INV advisory services BN: JAMES MCCARTHY POS: Facilitator NOB: Seminar Facilitator INV REL:N #OF HRS: 4 SEC TRAD HRS: 4 START DATE: 11/28/2022 ADDR: 141 W Main Street, Rockaway NJ 07866 DESC: Seminar Facilitator for ComPsych Corporation. They offer their clients a number of seminars on financial topics such as budgeting, saving for retirement, saving for college. They provide the presentation, I just make the presentation. BN: MENTAL HEALTH ASSOCIATION OF NJ POS: Committe memeber NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL:N #OF HRS: 2 SECU TRAD HRS: 2 START DATE: 11/15/2023 ADDR: James McCarthy (2), 673 Morris Avenue, Suite 100, Springfield NJ 07081 DESC: Participate in finance committee meetings (quarterly). Review organization financial statements and Form 990. Provide input as necessary
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®
CFP®
Start date: 2013
Experience
Past
May 10, 2022 - May 10, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Rockaway, NJ
Past
May 10, 2022 - May 10, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Rockaway, NJ
Past
September 23, 2016 - May 10, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
Rockaway, NJ
Past
September 23, 2016 - May 10, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Rockaway, NJ
Past
January 21, 2010 - September 23, 2016
WALL STREET FINANCIAL GROUP, INC.
RIA
CRD#: 35830
Rockaway, NJ
Past
January 15, 2010 - September 23, 2016
WALL STREET FINANCIAL GROUP, INC.
BD
CRD#: 35830
Rockaway, NJ
Past
March 21, 2007 - February 4, 2010
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MORRISTOWN, NJ
Past
February 2, 2007 - February 4, 2010
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MORRISTOWN, NJ
Past
August 28, 2003 - February 14, 2007
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
TEANECK, NJ
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
