Thomas Sean McCartney
Investment Adviser Representative at Raymond James Financial Services Advisors, Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Sean McCartney is an investment adviser representative with Raymond James Financial Services Advisors, Inc in Elgin, IL, where they have been registered since 2022. They have worked in the securities industry since 1996 and have been registered with 4 firms, including M Holdings Securities, Inc. and Northern Trust Securities, Inc. They have passed 7 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Illinois.
Registrations & licenses
- Investment adviser:
- Illinois
- Broker:
19 states and territories
Alabama, Arizona, California, Colorado, Florida, Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, New Jersey, New Mexico, New York, North Carolina, Ohio, South Dakota, Tennessee, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- M Holdings Securities, Inc.Apr 2015 – Feb 2022Portland, OR
- MY Advisor & Planner LLCFeb 2015 – Feb 2022Geneva, IL
- Raymond James Financial Services, Inc.Feb 2022 – no end date reportedGeneva, IL
- Raymond James Financial Services Advisors, Inc.Feb 2022 – no end date reportedGeneva, IL
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Raymond James Financial Services Advisors, Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 6,660
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Saint Petersburg, FL
- SEC file number:
- 801-69815
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Sean McCartney has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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