Stephen McCarthy has been President/Chief Compliance Officer of McCarthy Asset Management since November 2004, is a control person of the firm and directly owns 75% or more of it.
McCarthy Asset Management, Inc. is a Redwood Shores, CA firm with $422M under management, 218 clients and 2 advisers in one office, as of its March 2026 filing.
Steve McCarthy is Owner and Principal of McCarthy Asset Management, based in Redwood Shores, CA. CPAs in California were precluded from managing investments until the California State Board of Accountancy revised its rules in 1999 to allow CPAs to earn commissions, and he entered the investment business after that change. His firm uses Charles Schwab as custodian of its clients' assets, and he had written a tax and financial planning newsletter for many years.
- – present · 21 yearsRedwood Shores, CA · Adviser representative · Firm CRD 118285
Professional designations
Listed by McCarthy Asset Management
- Certified Public Accountant (CPA)
Investment adviser representative registrations
Stephen McCarthy is registered as an investment adviser representative in 2 states. The first approvals date from August 2005; the most recent is Texas, in February 2019.
- CaliforniaSince 2 August 2005
- TexasSince 26 February 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 16 August 1986 |
- Name
- General Securities Representative Examination
- Full name
- Stephen Peter McCarthy
- CRD
- 1542963
- Firm
- McCarthy Asset Management · CRD 118285
- Role
- President/Chief Compliance Officer
- Office
- 3 LAGOON DRIVE, SUITE 155, Redwood Shores, CA 94065
- Registration
- Investment adviser registration
- In the industry since
- August 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mamportfolios.com
Where does Stephen McCarthy work?
Stephen McCarthy has been President/Chief Compliance Officer of McCarthy Asset Management, Inc. since November 2004, and is a control person of the firm.
Is Stephen McCarthy a financial advisor?
Yes. Stephen McCarthy has a current investment-adviser registration in California and Texas, through McCarthy Asset Management since August 2005.
How many years of experience does Stephen McCarthy have?
Stephen McCarthy has 21 years in the financial industry, since August 2005, across 1 adviser firm.
What exams has Stephen McCarthy passed?
Stephen McCarthy passed the Series 7 in August 1986.
Where is Stephen McCarthy based?
Stephen McCarthy’s registered office is in Redwood Shores, CA.
Is Stephen McCarthy registered with FINRA?
No. Stephen McCarthy has no current broker registration.
How can I verify Stephen McCarthy’s record?
Search CRD 1542963 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen McCarthy’s full registration record.