William John Mccarthy
Professional Summary
William John Mccarthy, who also goes by Bill Mccarthy, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1987 - 2014. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Mccarthy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
OCEANUS SECURITIES, LLC
Contact Information
Main Address
521 Fifth Avenue 37th Floor, New York, NY 10175Mailing Address
521 Fifth Avenue 37th Floor, New York, NY 10175Phone Number
(212) 509-5600Established
Delaware since 10/16/2003Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2000Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1993Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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