Denis J. 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.
Denis J Mccarthy, who also goes by Denis Joseph Mccarthy, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1998. Denis had worked at 5 firms and has passed the Series 65, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 4, Series 9, Series 10, Series 14, Series 8 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
July 21, 2017 - August 29, 2018
J.P. MORGAN PRIME INC.
July 2, 2010 - March 31, 2014
J.P. MORGAN CLEARING CORP.
February 20, 2004 - October 1, 2016
J.P. MORGAN CLEARING CORP.
February 20, 2004 - August 12, 2025
J.P. MORGAN SECURITIES LLC
July 11, 2002 - January 23, 2004
RBC CAPITAL MARKETS, LLC
March 9, 2002 - January 23, 2004
RBC CAPITAL MARKETS, LLC
December 7, 1998 - March 9, 2002
SUTRO & CO. 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/5/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 5/10/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. MORGAN PRIME INC.
CRD#: 282107 / SEC#: , 8-69703
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | STOCK HOLDER | 79 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| DICESARE, MICHAEL E | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHAIR | 4706326 |
| KLION, ROGER JAY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5082261 |
| MEDINA, MATTHEW JOSEPH | CHIEF LEGAL OFFICER | 8115839 |
| SHERRICK, EILEEN FRANCES | CHIEF COMPLIANCE OFFICER | 2225907 |
| SISTO, MICHAEL J | DIRECTOR | 5151797 |
Red Flags
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