Lawrence K. Mccarty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lawrence Kevin Mccarty was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1981. Lawrence had worked at 10 firms and has passed the Series 63, Series 5, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2008 - October 27, 2008
MORGAN STANLEY & CO. LLC
February 12, 2002 - July 18, 2008
J.P. MORGAN SECURITIES LLC
May 13, 1996 - February 1, 2002
RAYMOND JAMES & ASSOCIATES, INC.
July 27, 1992 - September 4, 1992
HARCOURT RYDER CAPITAL, INC.
March 19, 1992 - April 3, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 16, 1991 - March 9, 1992
ARCHIPELAGO TRADING SERVICES, INC.
May 9, 1989 - December 24, 1991
SOUTHEASTERN CAPITAL GROUP, INC.
October 10, 1984 - February 12, 1988
DOMIK CORP.
October 10, 1983 - October 5, 1984
LEHMAN BROTHERS INC.
October 19, 1981 - October 8, 1983
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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