James Michael Mccarthy

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2019-06-10
MA	RA	APPROVED	2010-01-19

FL RA
APPROVED

Since 2019-06-10
MA RA
APPROVED

Since 2010-01-19

Branch Locations

Newburyport, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Delta Air Lines	Atlanta	GA	05/1997	Present
Royal Alliance	Newburyport	MA	05/2005	Present
Saltbox Financial	Newburyport	MA	12/2009	Present

05/1997 → Present

Delta Air Lines

Atlanta, GA
05/2005 → Present

Royal Alliance

Newburyport, MA
12/2009 → Present

Saltbox Financial

Newburyport, MA

Previous Registrations

2005-09-02 → 2009-12-31

Schooner Advisory Services

Newburyport, MA

Other Businesses

1) JAMES MCCARTHY; NON-INVESTMENT RELATED; DELTA AIRLINES HARTSFIELD AIRPORT ATLANTA GA; EMPLOYEE/PILOT; STARTED 05/29/1997; 100 HRS/MTH; 6 HRS/MTH DURING ST HOURS; PILOT DELTA AIRLINES 767, BASED AT JFK, FLY 4-5 MONTHS TO EUROPE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-08-20
S63	Uniform Securities Agent State Law Examination	2005-07-18

S66 Uniform Combined State Law Examination

2005-08-20
S63 Uniform Securities Agent State Law Examination

2005-07-18

View on SEC IAPD