SM
Scott M. Mccarthy
CAMBRIDGE ADVISORS
Williamsville, NY 14221-5806
Some features on this profile are disabled
CRD#: 5084155
SM
Professional summary
Scott M Mccarthy, CFP®, who also goes by Scott Michael Mccarthy, is a registered financial advisor currently at CAMBRIDGE ADVISORS, LLC located in Williamsville, New York.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Scott has worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Michael Mccarthy
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.
Employed as a tax advisor and Senior Consultant as a W-2 employee of Cambridge Consulting, Inc. No commissions are received from this business Baseline Enterprises LLC, LLC Manager, Duties: Manage Investments, Start date: 3/9/2020 Oakland Opportunity Fund, LLC, LLC Pension Plan, LLC Manager, Duties: Manage Investments, Start date: 9/4/2020 MLM International LLC, LLC Manager, Duties: Manage Investments, Start date: 9/4/2020 McCarthy Family Irrev Trust, Family Trustee & Beneficiary, Duties: Family Trustee & Manage Investments, Start date: 11/26/2012 JCM Niagara, LLC, LLC Manager & 1% partnership interest, Duties: Manage Investments, Start date: 7/5/2013 Cambridge Ontario, LLC, LLC Manager & 100% owner, Duties: Manage Investments, Start date: 7/5/2013 Aum Irrevocable Trust, Independent Trustee for close friend's family trust, Duties: Independent Distribution Trustee, Start date: 11/25/2013 Cambridge Consulting, LLC, Employee, Duties: Consultant Tax compliance & advice, Start date: 6/24/2014 Value Point Associates, LLC, LLC Manager & 401k Plan TTEE 25% owned by JCM Niagara, LLC, Duties: Chief Financial Officer duties & trustee, Start date: 8/21/2014 VPA Benefits, LLC, LLC Manager 25% owned by JCM Niagara, LLC, Duties: Chief Financial Officer duties, Start date: 8/21/2020 Popp Family Trust, Independent trustee for close relative's family trust, Duties: Independent Distribution Trustee, Start date: 5/17/2021 Marian L. McCarthy RLT, Co-trustee of Mother's Revocable Living Trust, Duties: Concurrent trustee, Start date: 6/25/2020 New Epoch Trust c/o Premier Trust Co., Family Trustee & Beneficiary, Family Trustee & Manage Investments, Start date: 12/7/2020
CRS (Client Relationship Summary) - RIA
Click below to view Scott M Mccarthy's 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®
Start date: 2008
Experience
Current
August 9, 2021 - Present
CAMBRIDGE ADVISORS, LLC
Office #1: 6225 Sheridan Drive Suite 102, Williamsville, NY 14221-5806RIA
CRD#: 158928
Williamsville, NY
Past
May 19, 2008 - September 26, 2011
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
WILLIAMSVILLE, 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".
CA
CAMBRIDGE ADVISORS, LLC
CAMBRIDGE ADVISORS, LLC
CRD#: 158928 / SEC#: 801-114340
RIA
Registered Investment Advisory firm - (12/21/2018 Approved)New York
Registered Investment Advisory firm - (12/26/2018 Terminated)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
New York(8/9/2021)
IAR
Texas(3/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
CA
CAMBRIDGE ADVISORS, LLC
CAMBRIDGE ADVISORS, LLC
CRD#: 158928 / SEC#: 801-114340
RIA
Registered Investment Advisory firm - (12/21/2018 Approved)New York
Registered Investment Advisory firm - (12/26/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
6225 Sheridan Drive Suite 102, Williamsville, NY 14221-5806
Mailing Address
Phone number
(716) 932-7270
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 247 |
| AUM (Assets Under Management) | $ 42,669,520 |
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
CAMBRIDGE ADVISORS, LLC
CRD#: 158928Williamsville, NY 14221-5806TRUST BUT VERIFY
Monitor Scott Mccarthy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
