James D. Mccarron
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 Dennis Mccarron, who also goes by Dennis Mccarron, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 18 firms and has passed the Series 65, Series 63, Series 66, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 53, Series 4, Series 24, Series 27 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
January 30, 2024 - September 20, 2024
WOOD (ARTHUR W.) COMPANY, INC.
June 28, 2022 - April 24, 2023
SVB WEALTH
May 17, 2021 - July 29, 2022
SVB INVESTMENT SERVICES INC.
July 2, 2020 - April 24, 2023
SVB INVESTMENT SERVICES INC.
October 23, 2018 - January 14, 2019
WOOD (ARTHUR W.) COMPANY, INC.
September 27, 2016 - March 20, 2017
CHESTERBROOK CAPITAL
July 26, 2013 - December 11, 2013
METHOD ENTERPRISE ADVISORS LLC
May 21, 2013 - February 1, 2014
PICKWICK CAPITAL PARTNERS, LLC
March 9, 2012 - March 6, 2013
PRONET FINANCIAL PARTNERS LLC
May 16, 2011 - January 31, 2012
SLOANE MCCARRON CAPITAL ADVISORS, LLC
April 5, 2010 - March 14, 2012
LIGHTHOUSE CAPITAL, LLC
March 29, 2010 - March 15, 2012
SOMERSET SECURITIES, INC.
May 13, 2009 - March 26, 2010
OSAIC FS, INC.
October 18, 2007 - March 26, 2010
U.S. FINANCIAL ADVISORS
October 14, 2003 - June 1, 2009
U.S. WEALTH ADVISORS, LLC.
June 27, 2000 - June 25, 2001
21ST CENTURY FINANCIAL SERVICES, INC.
July 13, 1994 - June 30, 1998
REICH & TANG DISTRIBUTORS, INC.
March 22, 1991 - June 30, 1994
FISCO EQUITY, INC.
August 24, 1989 - April 1, 1991
CAPITAL BROKERAGE CORPORATION
February 10, 1987 - August 26, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
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 ExaminationCurrent Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
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.
