Grover K. Mccarthy

STONEMARK WEALTH MANAGEMENT

Pasadena, CA 91101

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CRD#: 7290886

Professional summary

Grover Kelley Mccarthy, AIF®, who also goes by Grover Mccarthy, is a registered financial advisor currently at STONEMARK WEALTH MANAGEMENT located in Pasadena, California.

Grover is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Grover has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Grover 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grover Kelley Mccarthy's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

June 3, 2021 - Present

STONEMARK WEALTH MANAGEMENT

Office #1: 201 S. Lake Avenue Suite 509, Pasadena, CA 91101

RIA

CRD#: 158413

Pasadena, CA

Past

February 14, 2021 - June 3, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

LOS ANGELES, CA

Past

December 2, 2020 - June 3, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

LOS ANGELES, 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".

STONEMARK WEALTH MANAGEMENT

STONEMARK WEALTH MANAGEMENT | WESPAC ADVISORS SOCAL, LLC

CRD#: 158413 / SEC#: 801-77286

RIA

Registered Investment Advisory firm - (11/8/2012 Approved)

California

Registered Investment Advisory firm - (11/21/2012 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.

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

California
(6/3/2021)

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 66

Date: 2/10/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/2/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/14/2020

Securities Industry Essentials Examination

Current Firm

STONEMARK WEALTH MANAGEMENT

STONEMARK WEALTH MANAGEMENT | WESPAC ADVISORS SOCAL, LLC

CRD#: 158413 / SEC#: 801-77286

RIA

Registered Investment Advisory firm - (11/8/2012 Approved)

California

Registered Investment Advisory firm - (11/21/2012 Terminated)

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Contact information

Main Address

201 S. Lake Avenue Suite 509, Pasadena, CA 91101

Mailing Address

Phone number

(626) 304-9888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESPAC ADVISORS SOCAL, LLC FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	853
AUM (Assets Under Management)	$ 516,309,155

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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Grover K. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grover Kelley Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEMARK WEALTH MANAGEMENT

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

STONEMARK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/10/2021

Series 7TO

Date: 12/2/2020

SIE

Date: 8/14/2020

Current Firm

STONEMARK WEALTH MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEMARK WEALTH MANAGEMENT

TRUST BUT VERIFY

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