John McCarthy, financial advisor Overland Park KS
83 score

John McCarthy

CRD Number: 2974714
Current Firm: Foundations Investment Advisors LLC

John McCarthy (CRD# 2974714) is an Investment Advisor Representative working at Foundations Investment Advisors LLC in Overland Park, KS and has over 19 years of experience in the finance industry.

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Company Name Location Dates Years
Brokers Internaitonal Financial Services, LLC Olathe, KS Aug 2015 - Current 1
Questar Capital Corporation Minneapolis, MN Nov 2012 - Aug 2015 2
Questar Asset Management Minneapolis, MN Nov 2012 - Aug 2015 2
Lincoln Financial Securities Corporation Lenexa, KS Aug 2011 - Nov 2012 1
Massmutual Financial Group Overland Park, KS May 2009 - Aug 2011 2
Mml Investors Services, Inc. Overland Park, KS May 2009 - Aug 2011 2
The Equitable Life Assurance Society Of The United States Overland Park, KS Nov 1997 - Apr 2009 11
Eq Financial Consultants, Inc. Overland Park, KS Nov 1997 - Apr 2009 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1997
S65 NASAA Investment Advisors Law Examination Sep 1999
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for John L. McCarthy
Phone Number: 480-214-9837
Firm Website: http://www.fiwealth.com
Registered State(s):
  • KS
By the Numbers
  • Total Assets Under Management
    15
    MILLIONS
  • Total Number of Accounts
    150
    ACCOUNTS
  • Average Account Value
    $100,000
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AZ, CA, CO, FL, GA, HI, IL, IN, KS, MA, MD, ME, MI, NH, SC, TN, TX, UT

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BADGES
83

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