John Joseph Mccarthy

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2004 → Present
  Lpl Financial, Llc.
  Waltham, MA
• 03/2006 → 12/2021
  Bay Financial Advisors, Inc.
  Waltham, MA

Previous Registrations

• 2005-09-09 → 2021-12-31
  Bay Financial Advisors, Inc.
  Waltham, MA

Other Businesses

1. 05/18/2004 * DBA for LPL Business (entity for LPL business) * BAY FINANCIAL ASSOCIATES, LLC * INV REL * AT REPORTED BUSINESS LOCATION(S) 2. 05/18/2004 * NO BUSINESS NAME * Non-Variable Insurance * INV REL * AT REPORTED BUSINESS LOCATION(S) 3. 06/25/08 - OTHER, ACT AS A NOTARY PUBLIC IN THE COMMONWEALTH OF MASSACHUSETTS, 1% TIME SPENT. 4. 08/31/2015 * PEACHTREE WEALTH STRATEGIES LLC * DBA for LPL Business (entity for LPL business) * INV REL * AT REPORTED BUSINESS LOCATION(S) * 0 HRS/MO.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-03-29
• S63 Uniform Securities Agent State Law Examination
  1994-10-05

Designations

• Certified Financial Planner

Other Names

• Jack Mccarthy
• John Joseph Iii Mccarthy