Christopher Alan McCarthy

Financial advisor at Retirement Planning Group, LLC · Malta, NY

Last updated 2026-10-10

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Christopher Alan McCarthy is a financial advisor at Retirement Planning Group, LLC in Malta, NY, CRD 1357923. Licenses and exams on the registration: Series 63. IAPD registration began 2021-08-02.

Registration

CRD number
1357923
Registration status
Active
IAPD registration
2021-08-02
Industry Experience
5 years
Work Experience
16 years
States registered
NY

Licenses and exams

  • Series 63

Work history

  • 2010-07 to 2024-02 · Hazard & Siegel, Inc. · Dewitt, NY
  • 2021-08 to 2024-02 · Hazard & Siegel Advisory Services LLC · Dewitt, NY
  • 2024-03 to Present · Purshe Kaplan Sterling Investments · Albany, NY
  • 2024-02 to Present · Retirement Planning Group, LLC · Malta, NY

Current employment

SEC IAPD record for Christopher Alan McCarthy

Retirement Planning Group, LLC

Regulatory AUM
$375,390,000
Registered advisors
5
Offices
2
Clients per advisor
208.6 (High)
Average AUM per client
$359.9K (Low)
High-net-worth client ratio
7.2% (Low)

Retirement Planning Group, LLC: advisors, services and reported ETF investments

About

Christopher Alan McCarthy is a financial advisor at Retirement Planning Group, LLC in Malta, NY. Reported securities licenses include Series 63. The latest record indicates 5 years of industry experience and 16 years of reported work history. Reported roles include Purshe Kaplan Sterling Investments, Hazard & Siegel Advisory Services LLC, Hazard & Siegel, Inc..

SEC disclosures list additional business and community activities: 1: fixed-insurance sales and service.

Retirement Planning Group, LLC's firm-level Form ADV reports 5 advisors across 2 offices; approximately 208.6 clients per advisor, average assets per client of $359,914, and regulatory AUM of $375.4M; client categories including Individuals (non-HNW), High net worth individuals, Charitable organizations, Corporations or other businesses; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses.

What this firm offers

Filed by Retirement Planning Group, LLC on Form ADV.

Client services

  • Financial Planning Services
  • Individuals and Small Businesses

Fee options

  • Percentage of Assets Under Management

Business and affiliations

  • Sells Non-Advisory Products or Services

Location

2691 State Route 9, Malta, NY 12020

5 advisors at this office.

Retirement Planning Group office in Malta, NY

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Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

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