Brian T. 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.
Brian Thomas Mccarthy was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2006 - December 5, 2016
TD AMERITRADE, INC.
September 11, 2002 - October 25, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
January 2, 2002 - April 22, 2006
TD AMERITRADE CLEARING, INC.
April 30, 1998 - December 31, 2001
J.P. SECURITIES, INC.
March 10, 1986 - March 14, 1989
FORESTERS 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 55
Date: 9/5/2003
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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