Joseph A. Mccarthy
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.
Joseph Anthony Michael Mccarthy, who also goes by Joseph Anthony Mccarthy, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1980. Joseph had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2015 - June 4, 2021
AVANTAX ADVISORY SERVICES
April 24, 2015 - June 4, 2021
AVANTAX INVESTMENT SERVICES, INC.
April 24, 2007 - April 28, 2015
CETERA INVESTMENT ADVISERS LLC
August 18, 2005 - April 28, 2015
CETERA FINANCIAL SPECIALISTS LLC
November 20, 2002 - July 19, 2005
PRINCIPAL SECURITIES, INC.
September 21, 1999 - November 1, 2002
WINGATE CAPITAL CORPORATION
March 1, 1996 - September 10, 1999
MML INVESTORS SERVICES, LLC
January 1, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
November 29, 1993 - November 15, 1994
WS GRIFFITH SECURITIES, INC.
June 4, 1987 - November 29, 1993
VP DISTRIBUTORS LLC
April 3, 1986 - May 27, 1987
TOWER SQUARE SECURITIES, INC.
June 4, 1980 - April 11, 1986
SIGNATOR INVESTORS, INC.
June 4, 1980 - April 14, 1986
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/15/1980
Registered Representative ExaminationCurrent Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
