Peggy J. 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.
Peggy Jo Mccarty, who also goes by Peggy Jo Cooper, Peggy Mccarthy, was a registered financial advisor .
Peggy is a previously registered financial advisor and started their career in finance in 1983. Peggy had worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2017 - August 9, 2024
MCCLURG CAPITAL CORPORATION
May 24, 2007 - September 29, 2017
WULFF, HANSEN & CO.
March 11, 2004 - June 6, 2005
BRANDIS TALLMAN LLC
July 8, 1997 - August 22, 2002
A. G. EDWARDS & SONS, INC.
March 18, 1992 - August 22, 2002
A. G. EDWARDS & SONS, INC.
August 9, 1983 - January 2, 1991
PRUDENTIAL EQUITY GROUP, LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MCCLURG CAPITAL CORPORATION
CRD#: 16798 / SEC#: , 8-34473
Contact information
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 117 |
| AUM (Assets Under Management) | $ 83,283,986 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
