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Brian C. Mc Cartney

Some features on this profile are disabled
CRD#: 1669948
BM

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.

Brian Charles Mc Cartney, who also goes by Brian Charles Mcartney, Brian Charles Mccartney, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 11 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Charles Mcartney | Brian Charles Mccartney

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 30, 2013 - November 18, 2013

LPS CAPITAL LLC

BD
CRD#: 155246
NEW YORK, NY
Past

October 25, 2012 - June 3, 2013

OPEN TO THE PUBLIC INVESTING, INC.

BD
CRD#: 127818
NEW YORK, NY
Past

August 20, 2009 - November 3, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
STEWART MANOR, NY
Past

January 24, 2007 - July 16, 2008

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017
NEW YORK, NY
Past

July 15, 1999 - January 11, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

January 29, 1999 - July 9, 1999

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

September 21, 1998 - January 26, 1999

INTERCAPITAL INTERNATIONAL INC.

BD
CRD#: 22109
NEW YORK, NY
Past

September 21, 1998 - January 26, 1999

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY
Past

January 2, 1997 - August 13, 1998

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY
Past

August 16, 1994 - March 17, 1995

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

May 10, 1991 - September 9, 1992

FUNDAMENTAL BROKERS

BD
CRD#: 28197
Past

January 9, 1991 - May 2, 1991

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY
Past

June 12, 1990 - October 26, 1990

DEALERWEB LLC

BD
CRD#: 19662
JERSEY CITY, NJ
Past

January 24, 1990 - May 24, 1990

DEALERWEB LLC

BD
CRD#: 19662
JERSEY CITY, NJ
Past

July 25, 1987 - November 20, 1989

FUNDAMENTAL BROKERS

BD
CRD#: 19837

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/18/2009
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

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.

Company Information

LPS CAPITAL LLC

CRD#: 155246

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