John 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.
John Mccarthy, who also goes by John C Mccarthy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 5 firms and has passed the Series 63 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 25, 1994 - May 20, 1994
SCHNEIDER SECURITIES, INC.
March 28, 1989 - June 7, 1989
PRINCETON FINANCIAL GROUP, INC.
December 17, 1987 - February 28, 1989
POWER SECURITIES CORPORATION
June 9, 1987 - December 24, 1987
H.J. MEYERS & CO., INC.
May 21, 1987 - June 16, 1987
DOMESTIC ARBITRAGE GROUP, INC.
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
SCHNEIDER SECURITIES, INC.
CRD#: 16434 / SEC#: , 8-33967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHNEIDER FINANCIAL CORP | CORPORATION | |
| BIXLER, CLARENCE LEROY JR | DIRECTOR | 22327 |
| DURAYBITO, SIEGFRIED PETER | OWNER | 1030619 |
| HINKLE, STEVEN RAY | CHIEF EXECUTIVE OFFICER/DIRECTOR | 838034 |
| KOCH, KEITH ARLAN | DIRECTOR | 1197658 |
| LOWE, TERRI ELAINE | CHIEF FINANCIAL OFFICER/DIRECTOR | 1823203 |
| MCENENY, TIMOTHY SEAN JR | OWNER | 2250543 |
| MURRAY, JAY ALAN | OWNER | 1958868 |
| NORTON, GREGORY BRUCE | DIRECTOR | 2041583 |
| OROURKE, THOMAS JOSEPH | PRESIDENT/DIRECTOR | 353467 |
| ROUSE, RICHARD JOHN | VICE-PRESIDENT/DIRECTOR | 1135898 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 17 |
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.
