John K. Mccarthy

CETERA INVESTMENT ADVISERS LLC

JOHNSTON, RI

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CRD#: 4776405

Professional summary

John K. Mccarthy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Johnston, Rhode Island and CETERA ADVISORS LLC located in Johnston, Rhode Island.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. John has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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. NAME OF OTHER BUSINESS: CHARTERED COURSE FINANCIAL GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2017; POSITION/TITLE/RELATIONSHIP: OWNER / PARTNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 1/2021; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 6; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John K. 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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

JOHNSTON, RI

Current

January 25, 2019 - Present

CETERA ADVISORS LLC

Office #1: 24 Bradford Street, Johnston, RI 02919

CRD#: 10299

Johnston, RI

Past

January 31, 2019 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

CONROE, TX

Past

January 3, 2019 - January 31, 2019

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

NORTH ATTLEBORO, MA

Past

December 1, 2016 - January 31, 2019

QUESTAR CAPITAL CORPORATION

CRD#: 43100

NORTH ATTLEBORO, MA

Past

June 29, 2015 - December 5, 2016

SIGNATOR INVESTORS, INC.

CRD#: 468

ANDOVER, MA

Past

February 15, 2011 - June 30, 2015

QUESTAR CAPITAL CORPORATION

CRD#: 43100

WARWICK, RI

Past

April 14, 2004 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

PROVIDENCE, RI

Past

April 14, 2004 - March 7, 2011

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WARWICK, RI

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Connecticut
(1/25/2019)

Florida
(1/25/2019)

Massachusetts
(1/25/2019)

Rhode Island
(1/25/2019)

IAR

Rhode Island
(3/21/2024)

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 66

Date: 12/28/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/19/2004

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: 11/12/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/13/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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John K. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

SIGNATOR INVESTORS, INC.

QUESTAR CAPITAL CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/2018

Series 63

Date: 4/19/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2008

Series 6

Date: 4/13/2004

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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