James F. Mccarthy
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.
James Francis Mccarthy, who also goes by James Francis Mccarthy Jr, Jeff Mccarthy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2023 - September 25, 2023
AFS SECURITIES, LLC
April 4, 2023 - August 25, 2023
MORGAN STANLEY
February 6, 2015 - April 4, 2023
AFS SECURITIES, LLC
September 25, 2013 - December 20, 2013
LION STREET FINANCIAL, LLC
December 11, 2001 - December 5, 2003
CLARK SECURITIES, INC.
July 5, 1984 - April 24, 1990
PRINCIPAL SECURITIES, INC.
June 6, 1983 - July 2, 1984
JOHN HANCOCK DISTRIBUTORS LLC
State Registrations and Notice Filings
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Exams
Current Firm
AFS SECURITIES, LLC
CRD#: 171819 / SEC#: , 8-69483
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN FINANCIAL SYSTEMS, INC. | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 2996942 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| BUNNELL, ANTHONY | CHIEF EXECUTIVE OFFICER, CHAIRMAN, BOARD OF MANAGERS | 4197371 |
| GIVENS, WILLIAM | CHIEF COMPLIANCE OFFICER | 2790454 |
| JOHNSON, DANIEL ROYCE | PRESIDENT, DESIGNATED RESPONSIBLE PRODUCER | 1225931 |
| MCDONALD, BRIAN THOMAS | BOARD OF MANAGERS | 2281813 |
Red Flags
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