Thomas McCarthy, financial advisor Hammond IN
93 score

Thomas McCarthy

CRD Number: 1224089
Current Firm: Horizon Investment Services, LLC

Thomas McCarthy (CRD# 1224089) is an Investment Advisor Representative working at Horizon Investment Services, LLC in Hammond, IN and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Horizon Investment Services, LLC Hammond, IN Nov 2009 - Current 7
Self Employed Glen Ellyn, IL Jan 2009 - Nov 2009 < 1
Smh Capital, Inc. Houston, TX Aug 2008 - Jan 2009 < 1
Edelman Financial Advisors LLC Fairfax, VA Jan 2008 - Jan 2009 1
Unemployed Glen Ellyn, IL Jan 2007 - Jan 2008 1
Sun Life Financial Distributors Boston, MA Jun 2005 - Jan 2007 1
Sun Life Financial - Us Wellesley Hills, MA Jun 2005 - Jan 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1984
S65 NASAA Investment Advisors Law Examination Apr 1996
S66 NASAA Uniform Combined State Law Examination Mar 2003
Contact Info for Thomas M. McCarthy
Phone Number: 219-852-3215
Registered State(s):
  • IL
  • IN
By the Numbers
  • Total Assets Under Management
    320
    MILLIONS
  • Total Number of Accounts
    1,063
    ACCOUNTS
  • Average Account Value
    $301,060
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Other
Types of Clients
Registered States

AK, AZ, CA, CO, FL, GA, IA, IL, IN, KY, LA, MA, MD, MI, MO, NC, NJ, NY, OH, PA, SC, TN, TX, VA, WA, WI

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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