JM
John A. Mccarthy
PARSONEX ADVISORY SERVICES
Tustin, CA 92780
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CRD#: 5473549
JM
Professional summary
John Allen Mccarthy JR. is a registered financial advisor currently at PARSONEX ADVISORY SERVICES, INC. located in Tustin, California and PARSONEX SECURITIES, INC. located in Tustin, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. John has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 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.
PARSONEX ADVISORY SERVICES, INC., INVESTMENT ADVISOR REPRESENTATIVE, OFFERING INVESTMENT ADVISORY SERVICES, 100HRS/MO. Commission Based only. HERITAGE LIVING TRUST, SALE OF LIVING TRUSTS, NON-INVESTMENT RELATED, CONSULTANT, 4HRS/MO. MCCARTHY FINANCIAL GROUP- OWNER/CEO- S CORP CREATED FOR PARSONEX SECURITIES AND ADVISORY BUSINESS, 11/2021 160 HRS/MO BACK 9 INSURANCE INSURANCE AGENT, SALE OF INSURANCE PRODUCTS, NON-INVESTMENT RELATED, COMMISSION 3HRS/MO. EAST WEST CONNECTION, EDUCATIONAL PROGRAM/EVENT FOR BLEEDING DISORDERS COMMUNITY. NON-INVESTMENT RELATED, PITTSTOWN, NJ TRAVEL DIRECTOR/PROGRAM LOGISTICS 10/2023, 60HRS/MO/PROGRAM, ONE EVENT A YEAR IN OCT, SALARY
CRS (Client Relationship Summary) - RIA
Click below to view John Allen Mccarthy JR.'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®
NoneExperience
Current
January 8, 2021 - Present
PARSONEX ADVISORY SERVICES, INC.
Office #1: 17291 Irvine Blvd Ste 340, Tustin, CA 92780RIA
CRD#: 160275
Tustin, CA
Current
January 18, 2008 - Present
PARSONEX SECURITIES, INC.
Office #1: 17291 Irvine Blvd., Suite 340, Tustin, CA 92780BD
CRD#: 144412
Tustin, CA
Past
February 9, 2016 - December 31, 2020
PARSONEX ADVISORY SERVICES, INC.
RIA
CRD#: 160275
Tustin, CA
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".
PA
PARSONEX ADVISORY SERVICES, INC.
PARSONEX ADVISORY SERVICES, INC. | PARSONEX FINANCIAL SERVICES, INC.
CRD#: 160275 / SEC#: 801-74543
RIA
Registered Investment Advisory firm - (3/27/2012 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.RR
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
RR
Arizona(2/1/2008)
RR
Arkansas(3/13/2023)
RR
California(2/1/2008)
IAR
California(1/8/2021)
RR
Colorado(1/18/2008)
IAR
Colorado(1/8/2021)
RR
Hawaii(3/17/2025)
RR
Idaho(1/2/2013)
IAR
Idaho(1/15/2021)
IAR
Iowa(1/8/2021)
RR
Missouri(1/2/2013)
IAR
Missouri(3/13/2023)
RR
Oregon(1/2/2013)
RR
Utah(9/24/2018)
IAR
Utah(3/13/2023)
RR
Washington(1/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/24/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARSONEX ADVISORY SERVICES, INC.
PARSONEX ADVISORY SERVICES, INC. | PARSONEX FINANCIAL SERVICES, INC.
CRD#: 160275 / SEC#: 801-74543
RIA
Registered Investment Advisory firm - (3/27/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8310 S. Valley Highway Suite 110, Englewood, CO 80112
Mailing Address
8310 S. Valley Highway Suite 110, Englewood, CO 80112
Phone number
(303) 662-8700
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 609 |
| AUM (Assets Under Management) | $ 174,840,469 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
