Mark McCarthy has held the title Member at CMC Financial Group since February 2009, is a control person of the firm and directly owns between 50% and 75% of it. Mark McCarthy holds a Bachelor of Science in Finance from C.W. Post (now LIU Post).
CMC Financial Group, LLC is an Atlanta, GA firm with $119M under management, 230 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Mark McCarthy is Partner of CMC Financial Group. He was hired by EF Hutton in New York City in 1984. In 1989 he moved to Atlanta and transferred to The Robinson Humphrey Company, the same parent company, and in 1993 he cofounded the CMC Group at Robinson Humphrey.
Mark McCarthy’s longest registration was 9 years at Wells Fargo Advisors Financial Network, LLC (2009–2018). Before joining CMC Financial Group in 2018, Mark McCarthy was registered through Wells Fargo Advisors Financial Network, LLC and UBS Financial Services Inc.
- CMC Financial Group, LLCCurrent– present · 8 yearsPalm City, FL · Adviser representative · Firm CRD 292413
- Wells Fargo Advisors Financial Network, LLC– · 9 yearsAtlanta, GA · Adviser representative · Firm CRD 11025
- UBS Financial Services Inc.– · 8 yearsAtlanta, GA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Mark McCarthy is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from May 2018; the most recent is Texas, in April 2019.
- GeorgiaSince 4 May 2018
- TexasResidentSince 29 April 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 29 August 2016 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 March 1992 |
| Series 3 | National Commodity Futures Examination | 31 January 1989 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 November 1984 |
| Series 7 | General Securities Representative Examination | 20 October 1984 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mark Barry McCarthy
- CRD
- 1312430
- Firm
- CMC Financial Group · CRD 292413
- Role
- Member
- Office
- Palm City, FL
- Registration
- Investment adviser registration
- In the industry since
- November 1984
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- cmcfg.com
Where does Mark McCarthy work?
Mark McCarthy has held the title Member at CMC Financial Group, LLC since February 2009, and is a control person of the firm.
Is Mark McCarthy a financial advisor?
Yes. Mark McCarthy has a current investment-adviser registration in Georgia and Texas, through CMC Financial Group since May 2018.
How many years of experience does Mark McCarthy have?
Mark McCarthy has 41 years in the financial industry, since November 1984, across 3 adviser firms.
What exams has Mark McCarthy passed?
Mark McCarthy has passed 5 licensing exams: the Series 7, Series 63, Series 3, Series 65 and Series 24. The earliest, the Series 7, was passed in October 1984. FINRA credited Mark McCarthy with the SIE, which began in October 2018.
Where did Mark McCarthy work before CMC Financial Group?
Before CMC Financial Group, Mark McCarthy was registered through UBS Financial Services Inc., August 2000 to March 2009.
Where is Mark McCarthy based?
Mark McCarthy’s registered office is in Palm City, FL.
Is Mark McCarthy registered with FINRA?
No. Mark McCarthy has no current broker registration.
How can I verify Mark McCarthy’s record?
Search CRD 1312430 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mark McCarthy’s full registration record.