Joseph B. Mccarthy

KINGSGROVE MANAGEMENT

Camarillo, CA 93010

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CRD#: 5469879

Professional summary

Joseph Benedict Mccarthy is a registered financial advisor currently at KINGSGROVE MANAGEMENT, LLC located in Camarillo, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Joseph has worked at 3 firms and has passed the Series 65, Series 66, Series 3, Series 31 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.

McCarthy Management - THIS BUSINESS IS NON-INVESTMENT RELATED; 1200 PASEO CAMARILLO, SUITE 150, CAMARILLO, CA 93010, EMPLOYEE STATUS TO PERFORM BUSINESS MANAGEMENT SERVICES, START DATE 01/2006 - 20 HOURS A WEEK IS DEVOTED TO THE BUSINESS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Benedict 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®

None

Experience

Current

May 2, 2017 - Present

KINGSGROVE MANAGEMENT, LLC

Office #1: 1200 Paseo Camarillo, #150, Camarillo, CA 93010

RIA

CRD#: 285918

Camarillo, CA

Past

March 30, 2010 - June 16, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

March 24, 2010 - June 16, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

March 24, 2008 - July 21, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SANTA BARBARA, CA

Past

February 18, 2008 - July 21, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

SANTA BARBARA, CA

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

California
(5/2/2017)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/19/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 8/29/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 4/8/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/15/2008

General Securities Representative Examination

Current Firm

KINGSGROVE MANAGEMENT, LLC

KINGSGROVE MANAGEMENT, LLC | MG MANAGEMENT, LLC | MG MANAGEMENT OF CALIFORNIA, LLC

CRD#: 285918 / SEC#:

California

Registered Investment Advisory firm - (5/2/2017 Approved)

Maryland

Registered Investment Advisory firm - (4/21/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1200 Paseo Camarillo, #150, Camarillo, CA 93010

Mailing Address

Phone number

(310) 746-7110

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 4,982,037

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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Advisor Monitoring

Firm Stability Insights

Joseph B. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Benedict Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2016

Series 66

Date: 3/19/2008

Series 3

Date: 8/29/2017

Series 31

Date: 4/8/2008

Series 7

Date: 2/15/2008

Current Firm

KINGSGROVE MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KINGSGROVE MANAGEMENT, LLC

TRUST BUT VERIFY

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