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Mark Robert Finney

Mark R. Finney

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
Marysville, OH 43040
Some features on this profile are disabled
CRD#: 5036101
Mark Robert Finney

Professional summary

Mark Robert Finney, AIF®, CFP® is a registered financial advisor currently at MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC located in Marysville, Ohio.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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. Mccarthy & Cox, insurance agent selling fixed life, fixed annuity, long term care, and disability insurance products, conducted at branch, investment related. 2. Co-owner, Yellow Finch Financial, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 6/01/2021; Less than 5% of time spent during business hours; Conducted at branch; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Robert Finney'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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 2017

Experience

Current

December 21, 2023 - Present

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

Office #1: 127 W. 5th Street, Marysville, OH 43040
RIA
CRD#: 328478
Marysville, OH
Past

October 30, 2015 - December 31, 2023

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
MARYSVILLE, OH
Past

October 30, 2015 - December 31, 2023

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
MARYSVILLE, OH
Past

April 27, 2011 - November 3, 2015

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
COLUMBUS, OH
Past

April 25, 2011 - November 3, 2015

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
COLUMBUS, OH
Past

February 10, 2010 - April 25, 2011

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
COLUMBUS, OH
Past

January 15, 2010 - April 25, 2011

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
COLUMBUS, OH
Past

September 5, 2007 - January 5, 2010

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

November 1, 2005 - August 28, 2007

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
WESTERVILLE, OH

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".
M&
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478 / SEC#: 801-128995

RIA
Registered Investment Advisory firm - (3/4/2024 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.

Highlighted states indicate IAR registrations

IAR
Ohio
(12/22/2023)
IAR
Texas
(12/21/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/22/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/19/2005
Uniform Securities Agent 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: 12/9/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/31/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

M&
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478 / SEC#: 801-128995

RIA
Registered Investment Advisory firm - (3/4/2024 Approved)
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Contact information

Main Address
127 W. 5th Street, Marysville, OH 43040
Mailing Address
Phone number
(937) 644-0351
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A MARCH 2025 (3/5/2025)

Regulatory assets under management

Total Number of Accounts2,156
AUM (Assets Under Management)$ 641,806,550

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

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478Marysville, OH 43040

TRUST BUT VERIFY

Monitor Mark Finney

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Client Complaints
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