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Paul Mccarthy

Investment Management Services Group, LLC
36 Years of Experience
Melbourne, FL
6 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Paul Mccarthy is a registered investment advisor at Investment Management Services Group, LLC, based in Melbourne, FL, with 36 years of industry experience. Paul operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Insurance Planning, Investment Management, Real Estate Investing, Retirement Planning, and 1 more. Their firm serves 86 clients with $9.2M in assets under management.

Investment Management Services Group, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
3 advisors
Number of Clients
86 clients
Average Client Portfolio
$107K average
Assets Under Management
$9.2M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $50K1.50%
$50K - $1.0M1.25%
$1M+1.00%

Fees are negotiable on a client-by-client basis depending on portfolio size and complexity.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4800 Dairy Road, Suite 101, Melbourne, FL, 32904

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
October 2015
Final
Customer Dispute
November 2008
Settled
Regulatory
November 2008
Final
Employment Separation After Allegations
September 2008
Employment Separation After Allegations
April 2006
Employment Separation After Allegations
August 2002
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Paul is the Vice President and an insurance agent at IMS Partners, Inc. since 2002, managing an insurance agency and selling insurance products, taking about half of his time.

Employment History
Current Registrations
Investment Management Services Group, LLC
October 2011 - Present · 15 yrs
Previous Registrations
United Planners' Financial Services of America a Limited PartnerBroker
March 2008 - September 2008 · 6 mos
Empire Financial Group, INC.Broker
January 2003 - April 2006 · 3 yrs 3 mos
Summit Brokerage Services, INC.Broker
August 2002 - September 2002 · 1 mo
Locust Street Securities, INC.Broker
April 2001 - August 2002 · 1 yr 4 mos
Royal Alliance Associates, INC.Broker
November 1989 - December 2000 · 11 yrs 1 mo
Integrated Resources Equity CorporationBroker
April 1988 - November 1989 · 1 yr 7 mos
Dean Witter Reynolds INC.Broker
October 1984 - April 1988 · 3 yrs 6 mos
State Registrations1 state
FL
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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