MCDERMOTT INVESTMENT ADVISORS, LLC of NAPLES, FL is an SEC-registered investment adviser (CRD 132221). Regulatory assets under management: $203.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Commissions, Other.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Dean Patrick Mcdermott | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| Kathleen Kovacs Mcdermott | MANAGING DIRECTOR | — |
| MCDERMOTT DEAN PATRICK | MANAGING MEMBER; MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| KALE SEEMA S | CHIEF COMPLIANCE OFFICER | — |
| MCDERMOTT KATHLEEN KOVACS | MANAGING DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-13 | civil | THE SEC'S ACTION STEMS FROM ITS INVESTIGATION INTO MCDERMOTT INVESTMENT ADVISORS AND MR. MCDERMOTT REGARDING UNIT INVESTMENT TRUSTS PURCHASED BY CERTAIN ADVISORY CLIENTS BETWEEN JANUARY 2012 AND DECEMBER 2014. SPECIFICALLY, THE SEC ALLEGES THAT BY INVESTING THE ADVISORY CLIENTS IN THE UITS AT ISSUE,… | Pending | — |
| — | regulatory | — | — | — |