Colin P. Mccarthy

HAVILAND & SAMS

Farmington, CT 06032

Some features on this profile are disabled

CRD#: 7891928

Professional summary

Colin Patrick Mccarthy is a registered financial advisor currently at HAVILAND & SAMS, LLC located in Farmington, Connecticut.

Colin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Colin has worked at 1 firm and has passed the Series 63, Series 65 and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Patrick 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®

None

Experience

Current

May 8, 2024 - Present

HAVILAND & SAMS, LLC

Office #1: 30 Stanford Drive 2nd Floor, Farmington, CT 06032

RIA

CRD#: 127175

Farmington, CT

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

Connecticut
(5/8/2024)

IAR

Massachusetts
(5/9/2024)

IAR

New York
(7/16/2025)

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

Series 63

Date: 10/26/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/8/2024

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/27/2024

Securities Industry Essentials Examination

Current Firm

HAVILAND & SAMS, LLC

HAVILAND & SAMS, LLC | THE HAVILAND GROUP, LLC

CRD#: 127175 / SEC#:

Connecticut

Registered Investment Advisory firm - (7/1/2003 Approved)

Florida

Registered Investment Advisory firm - (7/12/2012 Approved)

Massachusetts

Registered Investment Advisory firm - (5/2/2006 Approved)

New York

Registered Investment Advisory firm - (7/16/2025 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

30 Stanford Drive 2nd Floor, Farmington, CT 06032

Mailing Address

Phone number

(860) 678-1414

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Richard Rake

FINANCIAL RESOURCES GROUP, LLC

IAR

GLASTONBURY, CT

Michael Chadwick

FISCAL WISDOM WEALTH MANAGEMENT LLC

IAR

Canton, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Colin P. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Patrick Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAVILAND & SAMS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/2024

Series 65

Date: 5/8/2024

SIE

Date: 12/27/2024

Current Firm

HAVILAND & SAMS, LLC

Contact information

Documents

Red Flags

Company Information

HAVILAND & SAMS, LLC

TRUST BUT VERIFY

Similar Advisors