David G. 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.
David George Mccarthy, who also goes by Dave Mccarthy, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, 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
October 16, 2013 - September 16, 2016
BARCLAY INVESTMENTS LLC
November 6, 2012 - October 10, 2013
KILDARE CAPITAL, INC.
March 4, 2009 - October 12, 2010
BANC OF AMERICA SECURITIES LLC
August 11, 2004 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 1985 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 4/20/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BARCLAY INVESTMENTS LLC
CRD#: 6159 / SEC#: , 8-16935
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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