Thomas 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.
Thomas James Mccarthy was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 8 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2021 - October 27, 2022
SCF SECURITIES, INC.
July 16, 2021 - October 27, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
April 20, 2020 - October 27, 2022
NEXT FINANCIAL GROUP, INC.
March 2, 2020 - October 27, 2022
CADARET, GRANT & CO., INC.
September 16, 2005 - October 27, 2022
SORRENTO PACIFIC FINANCIAL, LLC
March 8, 2005 - October 27, 2022
CUSO FINANCIAL SERVICES, L.P.
January 19, 1994 - March 9, 2005
LPL FINANCIAL LLC
December 20, 1988 - October 8, 1991
ROOSEVELT & CROSS, INCORPORATED
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 ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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