William 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.
William John Mccarthy, who also goes by Bill Mccarthy, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 12 firms and has passed the Series 63, Series 55, Series 7, Series 14, Series 53, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2014 - September 8, 2014
OCEANUS SECURITIES, LLC
June 9, 2011 - May 1, 2012
ATM
February 7, 2005 - May 25, 2010
ARITAS SECURITIES LLC
January 25, 2001 - January 3, 2005
INSTINET, LLC
August 4, 1997 - January 8, 2001
UST SECURITIES CORP.
April 29, 1997 - June 18, 1997
SCHONFELD SECURITIES, LLC
September 27, 1995 - March 18, 1997
TRIBAL CAPITAL MARKETS, LLC
October 13, 1992 - July 24, 1995
PERSHING LLC
September 20, 1991 - October 5, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 7, 1989 - July 23, 1991
BARRETT DAY SECURITIES, INC.
July 17, 1989 - November 1, 1989
RECTOR CAPITAL CORP.
January 5, 1987 - April 1, 1989
WAKEFIELD FINANCIAL CORPORATION
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: 2/14/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 12/7/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OCEANUS SECURITIES, LLC
CRD#: 133798 / SEC#: , 8-66772
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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