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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

JOHN JOSEPH MCCARTHY

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

ATLANTA, GA

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Search this name across graphsid dfx:ria:cc23a936-6eea-cf8c-ba5c-a680da70eea1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2003 to Sep 14, 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: STIFEL, NICOLAUS & COMPANY, INCORPORATED
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 20, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jan 20, 1989
First registration: Mar 7, 2003
Dual registered: yes, broker-dealer
Other names: JOHN MCCARTHY
IAPD individual key: 1905955

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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Jan 12, 2022	n/a	yes	ATLANTA, GA	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Mar 2, 2021	Jan 5, 2022	no	ATLANTA, GA	Previous registration
BB&T SECURITIES, LLC	Former SEC adviser	Jan 2, 2013	Mar 2, 2021	no	ATLANTA, GA\|RICHMOND, VA	Previous registration
SCOTT & STRINGFELLOW, LLC	Former SEC adviser	Oct 12, 2010	Jan 2, 2013	no	ATLANTA, GA	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Jul 29, 2004	Sep 23, 2010	no	Atlanta North Point, GA\|ALPHARETTA, GA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 7, 2003	Jul 30, 2004	no	ATLANTA, GA	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
TRUIST ADVISORY SERVICES, INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jan 5, 2022	Jan 12, 2022	7	Firm change	Ibd to ibd
BB&T SECURITIES, LLC	TRUIST ADVISORY SERVICES, INC.	Mar 2, 2021	Mar 2, 2021	0	Bulk transfer	Ibd to ibd
SCOTT & STRINGFELLOW, LLC	BB&T SECURITIES, LLC	Jan 2, 2013	Jan 2, 2013	0	Bulk transfer	Other
ROBERT W. BAIRD & CO. INCORPORATED	SCOTT & STRINGFELLOW, LLC	Sep 23, 2010	Oct 12, 2010	19	Firm change	Other
MORGAN STANLEY DW INC.	ROBERT W. BAIRD & CO. INCORPORATED	Jul 30, 2004	Jul 29, 2004	-1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
283390:793:GA:2022-01-05	Jan 5, 2022	Jan 12, 2022	ATLANTA, GA	Firm change

Relationships

Registered with (6)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Jan 12, 2022 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Mar 2, 2021 to Jan 5, 2022factForm ADV
→ BB&T SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 2, 2013 to Mar 2, 2021factForm ADV
→ SCOTT & STRINGFELLOW, LLCRegistered adviserregistration: previous registration
Oct 12, 2010 to Jan 2, 2013factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Jul 29, 2004 to Sep 23, 2010factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 7, 2003 to Jul 30, 2004factForm ADV

Dated events

Occurred
Jan 5, 2022
Advisor changed firm
John Joseph Mccarthy left Truist Advisory Services, Inc. for Stifel, Nicolaus & Company, Incorporated (registered 2022-01-12)
Form ADVobserved 4 days ago