Michael P. 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.
Michael P Mccarthy, who also goes by Michael Peter Mccarthy, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 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
August 19, 2025 - March 30, 2026
ARIN RISK ADVISORS LLC
April 25, 2022 - October 8, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2012 - July 16, 2020
BOENNING & SCATTERGOOD, INC.
November 24, 2009 - May 17, 2012
SESLIA SECURITIES
September 7, 2007 - November 7, 2009
CROWELL, WEEDON & CO.
July 10, 2006 - September 7, 2007
CROWELL, WEEDON & CO.
May 9, 1997 - June 22, 2006
SAL EQUITY TRADING, GP
Primary Firm SEC Registration
ARIN RISK ADVISORS LLC
CRD#: 151491 / SEC#: 801-70598
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/4/1999
Limited Representative-Equity Trader ExamCurrent Firm
ARIN RISK ADVISORS LLC
CRD#: 151491 / SEC#: 801-70598
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 4,974,237,788 |
Red Flags
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