CM
Colin G. Mccarthy
INVESCO ADVISERS
Fort Lauderdale, FL
Some features on this profile are disabled
CRD#: 6147617
CM
Professional summary
Colin Geoffrey Mccarthy is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Fort Lauderdale, Florida and INVESCO DISTRIBUTORS, INC. located in Atlanta, Georgia.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Colin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
(1) Learning Empowered; Non-Profit serving the underserved community in Pinellas County FL; Board of Directors - Deputy Treasurer; Board of Director Position helping the Non-Profit in their Treasury Department to help implement & oversee sustainable fiscal governance for continued operations; 1.5 hours per month; StartDate: 02/21/2023.
CRS (Client Relationship Summary) - RIA
Click below to view Colin Geoffrey 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®
NoneExperience
Current
April 2, 2024 - Present
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Fort Lauderdale, FL
Current
April 2, 2024 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 1331 Spring Street Nw Suite 2500, Atlanta, GA 30309BD
CRD#: 7369
Atlanta, GA
Past
May 31, 2017 - March 26, 2024
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
WEST PALM BEACH, FL
Past
May 23, 2017 - March 26, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
WEST PALM BEACH, FL
Past
July 28, 2015 - May 23, 2017
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
ANDOVER, MA
Past
August 23, 2013 - May 23, 2017
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
ANDOVER, MA
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".
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 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
Alabama(4/2/2024)
RR
Alaska(4/2/2024)
RR
Arizona(4/2/2024)
RR
Arkansas(4/2/2024)
RR
California(4/2/2024)
RR
Colorado(4/2/2024)
RR
Connecticut(4/2/2024)
RR
Delaware(4/2/2024)
RR
District of Columbia(4/2/2024)
RR
Florida(4/2/2024)
RR
Georgia(4/2/2024)
RR
Hawaii(4/2/2024)
RR
Idaho(4/2/2024)
RR
Illinois(4/2/2024)
RR
Indiana(4/2/2024)
RR
Iowa(4/2/2024)
RR
Kansas(4/2/2024)
RR
Kentucky(4/2/2024)
RR
Louisiana(4/2/2024)
RR
Maine(4/2/2024)
RR
Maryland(4/2/2024)
RR
Massachusetts(4/2/2024)
RR
Michigan(4/2/2024)
RR
Minnesota(4/2/2024)
RR
Mississippi(4/2/2024)
RR
Missouri(4/2/2024)
RR
Montana(4/2/2024)
RR
Nebraska(4/2/2024)
RR
Nevada(4/2/2024)
RR
New Hampshire(4/2/2024)
RR
New Jersey(4/2/2024)
RR
New Mexico(4/2/2024)
RR
New York(4/2/2024)
RR
North Carolina(4/2/2024)
RR
North Dakota(4/2/2024)
RR
Ohio(4/2/2024)
RR
Oklahoma(4/2/2024)
RR
Oregon(4/2/2024)
RR
Pennsylvania(4/2/2024)
RR
Puerto Rico(4/2/2024)
RR
Rhode Island(4/2/2024)
RR
South Carolina(4/2/2024)
RR
South Dakota(4/2/2024)
RR
Tennessee(4/2/2024)
RR
Texas(4/2/2024)
IAR
Texas(4/2/2024)
RR
Utah(4/2/2024)
RR
Vermont(4/2/2024)
RR
Virgin Islands(4/2/2024)
RR
Virginia(4/2/2024)
RR
Washington(4/2/2024)
RR
West Virginia(4/2/2024)
RR
Wisconsin(4/2/2024)
RR
Wyoming(4/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 Approved)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
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(404) 892-0896
Established
Firm type
Fiscal year end
# of Employees
2,872
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
