DM
Daniel J. Mccarthy
GMS GROUP
Houston, TX 77056
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CRD#: 1094909
DM
Professional summary
Daniel Joseph Mccarthy, who also goes by Dan Mccarthy, is a registered financial professional currently at GMS GROUP located in Houston, Texas.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1983. Daniel has worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Mccarthy
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 26, 2002 - Present
GMS GROUP
Office #1: 5075 Westheimer - Suite 1175, Houston, TX 77056RIA
BD
CRD#: 8000
Houston, TX
Past
January 1, 2001 - August 29, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
MINNEAPOLIS, MN
Past
January 1, 1998 - January 1, 2001
MJK CLEARING, INC.
BD
CRD#: 8678
MINNEAPOLIS, MN
Past
June 24, 1997 - July 28, 1997
BANK UNITED SECURITIES CORP.
BD
CRD#: 30288
HOUSTON, TX
Past
February 15, 1996 - April 30, 1997
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
September 4, 1990 - February 26, 1996
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 11, 1990 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
BD
CRD#: 22540
Past
December 1, 1988 - May 21, 1990
MASTERSON MORELAND SAUER WHISMAN, INC.
BD
CRD#: 16815
Past
April 22, 1988 - November 22, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
July 25, 1987 - May 5, 1988
WESTCAP GOVERNMENT SECURITIES, INC.
BD
CRD#: 19645
Past
October 19, 1984 - May 4, 1988
WESTCAP SECURITIES, L.P.
BD
CRD#: 7301
Past
April 27, 1984 - October 10, 1984
WESTCAP SECURITIES, L.P.
BD
CRD#: 7301
Past
February 15, 1984 - April 16, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
November 17, 1983 - January 27, 1984
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
March 1, 1983 - June 6, 1983
IRG SECURITIES, INC.
BD
CRD#: 4182
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GMS GROUP
GMS GROUP | THE GMS GROUP, LLC | THE GMS GROUP, L.L.C. | THE G.M.S. GROUP, L.L.C. | THE G.M.S. GROUP, INC. | MOORE & SCHLEY MUNICIPALS, INC.
CRD#: 8000 / SEC#: 801-126662, 8-23936
RIA
Registered Investment Advisory firm - SEC (11/22/2022 Approved)Texas
Registered Investment Advisory firm - SEC (1/8/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(3/27/2020)
RR
Florida(3/5/2025)
RR
Georgia(3/27/2020)
RR
Iowa(2/16/2023)
RR
Kentucky(4/27/2021)
RR
Louisiana(8/26/2002)
RR
New Hampshire(4/27/2022)
RR
Texas(8/26/2002)
RR
Washington(5/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GMS GROUP
GMS GROUP | THE GMS GROUP, LLC | THE GMS GROUP, L.L.C. | THE G.M.S. GROUP, L.L.C. | THE G.M.S. GROUP, INC. | MOORE & SCHLEY MUNICIPALS, INC.
CRD#: 8000 / SEC#: 801-126662, 8-23936
RIA
Registered Investment Advisory firm - SEC (11/22/2022 Approved)Texas
Registered Investment Advisory firm - SEC (1/8/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936
Mailing Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936
Phone number
(973) 535-5000
Established
Delaware since 03/05/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (2 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMS GROUP HOLDINGS CORP | MEMBER | |
| CAPONE, CARMINE CLAUDIO | EXECUTIVE VICE PRESIDENT/DIRECTOR | 1124455 |
| DEMBOWSKI, DANIELLE DENISE | CHIEF FINANCIAL OFFICER | 5855269 |
| DONOHUE, TIMOTHY JOSEPH | SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | 725373 |
| DONOHUE, TIMOTHY JOSEPH | PRESIDENT | 725373 |
| ESTANISLAO, LEONARDO | CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR | 4622553 |
| FELDMAN, JUSTYN SETH | SENIOR VICE PRESIDENT - DIRECTOR | 2283535 |
| FELDMAN, MELVIN | DIRECTOR, SR VICE PRESIDENT | 205924 |
| KONSIG, PAUL ROBERT | CEO | 500443 |
| KONSIG, PAUL ROBERT | DIRECTOR | 500443 |
| KOROSTOFF, DAVID BRUCE | DIRECTOR, SR. VICE PRESIDENT | 1205712 |
| LENZI, JEFFREY PAUL | SENIOR VICE PRESIDENT/DIRECTOR | 2452390 |
| LIPMAN, MATTHEW ERIC | SECRETARY | 2367335 |
| MANTE, PAUL DAVID | SENIOR VICE PRESIDENT - DIRECTOR | 4911949 |
| MCKENNA, MICHAEL JAMES | EXECUTIVE VICE PRESIDENT | 1524460 |
| PRICE, BARBARA BENEDICT | DIRECTOR, SR. VICE PRESIDENT | 17944 |
| VESSELS, STEPHEN GLENN | SENIOR VICE PRESIDENT/DIRECTOR | 2403660 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 13,887,060 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
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.
