Brian P. 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 Paul 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 11 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2012 - March 13, 2014
ONEAMERICA SECURITIES, INC.
July 11, 2012 - March 13, 2014
ONEAMERICA SECURITIES, INC.
April 23, 2008 - April 21, 2011
EQUITABLE ADVISORS, LLC
April 14, 2008 - April 21, 2011
EQUITABLE ADVISORS, LLC
November 25, 2005 - July 3, 2006
PNC WEALTH MANAGEMENT LLC
November 25, 2005 - July 3, 2006
PNC WEALTH MANAGEMENT LLC
August 24, 2004 - October 3, 2005
NEWEDGE USA, LLC
January 6, 2004 - August 20, 2004
A. G. EDWARDS & SONS, INC.
January 6, 2004 - August 20, 2004
A. G. EDWARDS & SONS, INC.
November 11, 2002 - January 15, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2002 - January 15, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2002 - October 28, 2002
MORGAN STANLEY DW INC.
April 26, 2002 - October 28, 2002
MORGAN STANLEY DW INC.
November 20, 2001 - February 21, 2002
EQUITABLE ADVISORS, LLC
March 21, 2000 - July 6, 2000
MIZUHO SECURITIES USA LLC
June 25, 1998 - March 6, 2000
AUBREY G. LANSTON & CO., INC.
May 22, 1997 - March 18, 1998
UBS SECURITIES LLC
July 23, 1986 - January 28, 1997
NOMURA SECURITIES INTERNATIONAL, INC.
Primary Firm SEC Registration
ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
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
Current Firm
ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN UNITED LIFE INSURANCE COMPANY | PARENT | |
| BICKEL, KORY LLOYD | CHIEF COMPLIANCE OFFICER | 5424722 |
| CAYETANO, NICHOLAS ADAM | AML OFFICER | 7237505 |
| FLEETWOOD, MATTHEW THOMAS | CHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR | 4109266 |
| HARTLEY, BRYAN KEITH | FINOP | 5664171 |
| HOYLE, JASON ANDREW | DIRECTOR | 6027238 |
| JUNKER, DAVID A | DIRECTOR | 2442538 |
| LIONBERGER, TAYLOR W | SALES DEVELOPMENT DIRECTOR | 5931321 |
| MCGOFF, SEAN PATRICK | CHIEF COUNSEL & SECRETARY | 5801826 |
| SANDELSKI, DENNIS JOSEPH | AVP, TAX | 7244469 |
| SMILEY, ERIC DAVID | VP, DIRECTOR OF OPERATIONS | 2978413 |
| SNYDER, DANIEL R | TREASURER | 7318687 |
| WEYER, SHAUN CHRISTOPHER | SALES DEVELOPMENT DIRECTOR | 4607359 |
| YANG, CHUANMING | CHIEF INFORMATION SECURITY OFFICER | 7527042 |
Regulatory assets under management
| Total Number of Accounts | 2,118 |
| AUM (Assets Under Management) | $ 299,940,768 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
