CM
Colin Mccarthy
CETERA INVESTMENT ADVISERS
LYNN, MA 01904
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CRD#: 7891928
CM
Colin MccarthyCETERA INVESTMENT ADVISERS
Professional summary
Colin Mccarthy, who also goes by Colin Patrick Mccarthy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lynn, Massachusetts and CETERA ADVISORS LLC located in Lynn, Massachusetts.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Colin has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Aliases
Colin Patrick 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.
1. NAME OF OTHER BUSINESS: CCR WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL ADVISORY SERVICES START DATE: 03/2026 POSITION/TITLE/RELATIONSHIP: CLIENT SERVICE ASSOCIATE APX NUMBER OF HOURS PER WEEK: 60 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ASSISTING ADVISORS IN THE BRANCH OFFICE 2. NAME OF OTHER BUSINESS: TOWN OF WAKEFIELD INVESTMENT RELATED: NO ADDRESS: 1 LAFAYETTE SREET, WAKEFIELD MA 01880 NATURE OF BUSINESS:COUNCIL START DATE: 4/30/2026 POSITION/TITLE/RELATIONSHIP: COUNCIL MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SUPPORTS PUBLIC PROGRAMS FOR THE ARTS 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/27/2026 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 4. NAME OF OTHER BUSINESS: ESSEX COUNTY ESTATE PLANNING COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 152 CONANT ST SUITE 201 BEVERLY, MA 01915; NATURE OF BUSINESS: NON PROFIT; START DATE: 05/2026; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PURELY EDUCATIONAL AND NETWORKING WITH ESTATE PLANNERS; 5. NAME OF OTHER BUSINESS: BOSTON ESTATE PLANNING COUNCIL INVESTMENT RELATED: NO ADDRESS: 4 LAN RD, WESTFORD MA 01886 NATURE OF BUSINESS: COUNCIL START DATE: 5/10/2026 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: NONE: ITS INFORMATIONAL AND NETWORKING.
CRS (Client Relationship Summary) - RIA
Click below to view Colin 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
May 19, 2026 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 583 Chestnut Street Unit #6, Lynn, MA 01904RIA
CRD#: 105644
LYNN, MA
Current
May 8, 2026 - Present
CETERA ADVISORS LLC
Office #1: 583 Chestnut Street Unit #6, Lynn, MA 01904BD
CRD#: 10299
LYNN, MA
Past
May 8, 2024 - February 17, 2026
HAVILAND & SAMS, LLC
RIA
CRD#: 127175
FARMINGTON, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alaska(6/24/2026)
RR
Arizona(6/24/2026)
RR
California(6/24/2026)
RR
Connecticut(6/24/2026)
RR
Florida(6/24/2026)
RR
Kentucky(6/24/2026)
RR
Maine(6/24/2026)
RR
Maryland(6/24/2026)
RR
Massachusetts(5/11/2026)
IAR
Massachusetts(5/19/2026)
RR
New Hampshire(6/24/2026)
RR
New Jersey(6/24/2026)
RR
New York(6/24/2026)
RR
North Carolina(6/29/2026)
RR
Rhode Island(6/24/2026)
RR
South Carolina(6/24/2026)
RR
Texas(6/24/2026)
IAR
Texas(6/24/2026)
RR
Vermont(6/24/2026)
RR
Virgin Islands(6/24/2026)
RR
Virginia(6/24/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/7/2026
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Loading...
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
