James W. 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 William Mccarthy, who also goes by James William Mccarthy Mr., Jim Mccarthy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4, 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
August 3, 2009 - October 5, 2010
ENVOY SECURITIES, LLC
April 6, 2009 - July 14, 2009
SOUND CAPITAL MANAGEMENT, LLC
February 9, 2005 - July 8, 2015
ENVOY SECURITIES, LLC
July 1, 2003 - November 25, 2015
SEASCAPE CAPITAL MANAGEMENT,LLC
May 12, 2003 - October 25, 2004
COBURN & MEREDITH, INC.
March 23, 1998 - May 19, 2003
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - May 19, 2003
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
September 25, 1985 - April 11, 1988
E. F. HUTTON & COMPANY INC
May 23, 1985 - October 10, 1985
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
ENVOY SECURITIES, LLC
CRD#: 132719 / SEC#: , 8-66629
Contact information
Documents
Direct owners and executive officers
Red Flags
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