Stephen F. Carty
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.
Stephen Francis Carty was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 5 firms and has passed the Series 63, SIE 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
April 3, 2007 - December 18, 2015
GT SECURITIES, INC.
July 25, 2000 - June 7, 2006
LEHMAN BROTHERS INC.
May 15, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 21, 1994 - July 20, 2000
UBS SECURITIES LLC
September 8, 1992 - July 20, 1994
THE BRIDGEFORD GROUP
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
GT SECURITIES, INC.
CRD#: 116012 / SEC#: , 8-53527
Contact information
FINRA licenses (51 States and Territories)
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.
