John McCarthy, financial advisor Lake Forest CA
56 score

John McCarthy

CRD Number: 1102734
Current Firm: Quest Capital Strategies, Inc.

John McCarthy (CRD# 1102734) is an Investment Advisor Representative working at Quest Capital Strategies, Inc. in Lake Forest, CA and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Quest Capital Strategies, Inc. Lake Forest, CA Jan 2013 - Current 3
Unemployed Grapeville, CA Dec 2012 - Dec 2012 < 1
Sws Financial Services, Inc. Grapevine, TX Apr 2012 - Nov 2012 < 1
Morgan Stanley Smith Barney Southlake, TX Dec 2009 - Apr 2012 2
Creative Geographics, Inc. Southlake, TX Jan 2007 - Nov 2009 2
Interactive Sports And Entertainment Grapevine, TX Oct 2002 - Jan 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1983
S66 NASAA Uniform Combined State Law Examination Mar 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for John R. McCarthy
Phone Number: 949-830-4885
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    33
    MILLIONS
  • Total Number of Accounts
    190
    ACCOUNTS
  • Average Account Value
    $173,684
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AZ, CA, CO, FL, IA, ID, IL, IN, MA, MD, MI, NC, NH, NJ, NM, NY, OH, OR, PA, RI, SC, TX, VA, WA

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BADGES
56

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