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2691 State Route 9, Malta, NY 12020 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-08-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hazard & Siegel, Inc. | Dewitt | NY | 07/2010 | 02/2024 |
| Hazard & Siegel Advisory Services Llc | Dewitt | NY | 08/2021 | 02/2024 |
| Purshe Kaplan Sterling Investments | Albany | NY | 03/2024 | Present |
| Retirement Planning Group, Llc | Malta | NY | 02/2024 | Present |
1. FIXED INSURANCE. INVESTMENT-RELATED, 1B HARWICH MANOR BALLSTON LAKE NY 12019, INSURANCE SALES, OWNER, STARTED IN FEBRUARY 1985, 20-60 HRS PER MONTH INCLUDING TRADING HOURS, SELF EMPLOYED SALES & SERVICES OF FIXED INSURANCE & ANNUITY PRODUCTS. 2. CHRISTOPHER MCCARTHY IS DUALLY REGISTERED WITH RETIREMENT PLANNING GROUP, LLC ("RETIREMENT PLANNING GROUP") AND PURSHE KAPLAN STERLING INVESTMENTS ("PKS"). MR. MCCARTHY HAS SERVED AS AN INVESTMENT ADVISOR REPRESENTATIVE FOR RETIREMENT PLANNING GROUP SINCE 03/2024 AND AS A REGISTERED REPRESENTATIVE WITH PKS SINCE 02/2024. BUSINESS IS CONDUCTED FROM 2691 STATE ROUTE 9, MALTA, NY 12020. APPROXIMATELY 50% OF MR. MCCARTHY'S TIME IS FOR SERVICES AS AN INVESTMENT ADVISOR REPRESENTATIVE AND THE BALANCE AS A REGISTERED REPRESENTATIVE.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-02-14 |
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