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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

BRIAN MCCARTHY

Advisor at ESI FINANCIAL ADVISORS

LATHAM, NY | STATEN ISLAND, NY

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Search this name across graphsid dfx:ria:1384dd5a-c44c-af88-e2f7-2f2d5823d54c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Aug 6, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ESI FINANCIAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 14, 2006
First registration: Aug 6, 2007
Dual registered: yes, broker-dealer
Other names: BRIAN DAVID MCCARTHY
IAPD individual key: 4997015

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ESI FINANCIAL ADVISORS	Independent wealth	Apr 30, 2026	n/a	yes	LATHAM, NY\|STATEN ISLAND, NY	Current employment
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Aug 21, 2025	May 11, 2026	no	HOUSTON, TX\|STATEN ISLAND, NY	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Jan 22, 2024	Aug 18, 2025	no	STATEN ISLAND, NY\|NEW YORK, NY\|LATHAM, NY	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Jan 20, 2022	Jan 31, 2024	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 17, 2021	no	JERSEY CITY, NJ\|PURCHASE, NY\|Morristown, NJ\|New York, NY\|WARREN, NJ\|Warren, NJ\|NEW YORK, NY\|PURCHASE, NY\|Morristown, NJ\|New York, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 6, 2007	Jun 1, 2009	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VALIC FINANCIAL ADVISORS, INC.	ESI FINANCIAL ADVISORS	May 11, 2026	Apr 30, 2026	-11	Firm change	Ibd to RIA
ESI FINANCIAL ADVISORS	VALIC FINANCIAL ADVISORS, INC.	Aug 18, 2025	Aug 21, 2025	3	Firm change	RIA to ibd
PARK AVENUE SECURITIES LLC	ESI FINANCIAL ADVISORS	Jan 31, 2024	Jan 22, 2024	-9	Firm change	Ibd to RIA
MORGAN STANLEY	PARK AVENUE SECURITIES LLC	Sep 17, 2021	Jan 20, 2022	125	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Jan 22, 2024 to Aug 18, 2025factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Aug 21, 2025 to May 11, 2026factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Jan 20, 2022 to Jan 31, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 17, 2021factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 6, 2007 to Jun 1, 2009factForm ADV

Dated events

Occurred
May 11, 2026
Advisor changed firm
Brian Mccarthy left Valic Financial Advisors, Inc. for Esi Financial Advisors (registered 2026-04-30)
Form ADVobserved 4 days ago
Occurred
Aug 18, 2025
Advisor changed firm
Brian Mccarthy left Esi Financial Advisors for Valic Financial Advisors, Inc. (registered 2025-08-21)
Form ADVobserved 4 days ago
Occurred
Jan 31, 2024
Advisor changed firm
Brian Mccarthy left Park Avenue Securities Llc for Esi Financial Advisors (registered 2024-01-22)
Form ADVobserved 4 days ago