Stephen D. 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.
Stephen Dukes Mccarty, who also goes by Stephen, Dukes Mccarty, Steve Mccarty, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 26, Series 8, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2010 - July 11, 2013
ASCENTIA CAPITAL PARTNERS, LLC
January 30, 2009 - December 31, 2010
QUASAR DISTRIBUTORS, LLC
November 6, 2008 - December 31, 2008
ASCENTIA CAPITAL PARTNERS, LLC
January 19, 2006 - April 3, 2007
QUASAR DISTRIBUTORS, LLC
April 21, 2004 - December 31, 2007
ASCENTIA CAPITAL PARTNERS, LLC
February 17, 1994 - April 27, 2004
NAVELLIER & ASSOCIATES INC
February 4, 1994 - February 9, 2004
NAVELLIER SECURITIES CORP.
February 26, 1987 - March 20, 1992
LEHMAN BROTHERS INC.
July 25, 1985 - December 15, 1986
BA INVESTMENT SERVICES, INC.
April 25, 1985 - November 13, 1985
C. D. ANDERSON & COMPANY, INCORPORATED
July 11, 1983 - February 11, 1985
CETERA WEALTH SERVICES, LLC
June 24, 1983 - July 25, 1983
SOUTHMARK FINANCIAL SERVICES, 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 8
Date: 5/6/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASCENTIA CAPITAL PARTNERS, LLC
CRD#: 130651 / SEC#: 801-65018
Contact information
Red Flags
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