Michael N. Mccarthy

NEVILLE WEALTH MANAGEMENT

Frankfort, MI

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CRD#: 5931807

Professional summary

Michael Neville Mccarthy, who also goes by Mike Neville Mccarthy, is a registered financial advisor currently at NEVILLE WEALTH MANAGEMENT located in Frankfort, Michigan.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Michael has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Neville 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.

The name of the business is momo financial, inc., and is investment-related in that we assist employees in maximizing their employee stock purchase plan (ESPP) benefit. It is located at 121 W Chestnut St. #2707 Chicago, IL 60610. momo financial helps employees at publicly traded companies fully participate in their respective ESPP plans. I am a co-founder and CEO, and started in 2019. The approximate time commitment each month is 20 hours, all of which takes place either before or after normal securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Neville 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

March 4, 2022 - Present

NEVILLE WEALTH MANAGEMENT

RIA

CRD#: 317543

Frankfort, MI

Past

July 15, 2014 - April 1, 2015

PLANTE MORAN FINANCIAL ADVISORS

RIA

CRD#: 112158

SOUTHFIELD, MI

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

Michigan
(3/4/2022)

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: 10/23/2021

Uniform Investment Adviser Law Examination

Current Firm

NEVILLE WEALTH MANAGEMENT

NEVILLE WEALTH MANAGEMENT | NEVILLE WEALTH MANAGEMENT, LLC

CRD#: 317543 / SEC#:

Michigan

Registered Investment Advisory firm - (3/4/2022 Approved)

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Contact information

Main Address

Frankfort, MI

Mailing Address

Phone number

(734) 417-1354

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 17,224,206

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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Michael N. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Neville Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEVILLE WEALTH MANAGEMENT

PLANTE MORAN FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/2021

Current Firm

NEVILLE WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEVILLE WEALTH MANAGEMENT

TRUST BUT VERIFY

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