Michael A. Mccarty
Professional summary
Michael Anthony Mccarty was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Michael had worked at 2 firms, which includes HEARTLAND SECURITIES CORP., ICAPITAL MARKETS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1998 - January 14, 2003
HEARTLAND SECURITIES CORP.
December 23, 1997 - April 16, 1998
HEARTLAND SECURITIES CORP.
August 25, 1993 - May 13, 1998
ICAPITAL MARKETS LLC
State Registrations and Notice Filings
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Exams
Current Firm
HEARTLAND SECURITIES CORP.
CRD#: 43201 / SEC#: , 8-50181
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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