Richard M. Mcvey
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.
Richard Mitchell Mcvey was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2001 - February 24, 2025
MARKETAXESS CORPORATION
October 5, 2000 - March 1, 2002
MARKET AXESS INC.
November 13, 1992 - May 9, 2000
JPMSI
October 26, 1984 - August 28, 1992
DISCOUNT CORPORATION OF NEW YORK FUTURES
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: 5/6/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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