Shawn M. Mccarthy

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CRD#: 6877912

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Shawn Michael Mccarthy, CFP® was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 2017. Shawn had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Start date: 2010

Experience

Past

April 8, 2019 - June 28, 2021

ESSEX PRIVATE WEALTH MANAGEMENT LLC

RIA

CRD#: 149991

TOPSFIELD, MA

Past

December 1, 2017 - April 3, 2019

LITTLE HOUSE CAPITAL, LLC

RIA

CRD#: 290070

TOPSFIELD, 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".

ESSEX PRIVATE WEALTH MANAGEMENT LLC

ESSEX PRIVATE WEALTH MANAGEMENT LLC | PHALANX WEALTH MANAGEMENT, LLC | PHALANX PARTNERS | HUNTWICKE ADVISORS, LLC | ESSEX PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 149991 / SEC#: 801-108702

RIA

Registered Investment Advisory firm - (11/22/2016 Approved)

New Hampshire

Registered Investment Advisory firm - (11/8/2016 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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

ESSEX PRIVATE WEALTH MANAGEMENT LLC

ESSEX PRIVATE WEALTH MANAGEMENT LLC | PHALANX WEALTH MANAGEMENT, LLC | PHALANX PARTNERS | HUNTWICKE ADVISORS, LLC | ESSEX PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 149991 / SEC#: 801-108702

RIA

Registered Investment Advisory firm - (11/22/2016 Approved)

New Hampshire

Registered Investment Advisory firm - (11/8/2016 Terminated)

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Contact information

Main Address

7 Grove Street Suite 201, Topsfield, MA 01983

Mailing Address

Phone number

(978) 887-5981

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ESSEX DISCLOSURE BROCHURE, SUPPLEMENTS AND PRIVACY POLICY (6/11/2025)

Regulatory assets under management

Total Number of Accounts	762
AUM (Assets Under Management)	$ 293,647,777

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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Shawn M. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ESSEX PRIVATE WEALTH MANAGEMENT LLC

LITTLE HOUSE CAPITAL, LLC

Primary Firm SEC Registration

ESSEX PRIVATE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Current Firm

ESSEX PRIVATE WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ESSEX PRIVATE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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