Lawrence E. 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.
Lawrence Edward Mccarthy was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1989. Lawrence had worked at 8 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2012 - December 17, 2013
CANTOR FITZGERALD & CO.
March 8, 2011 - October 3, 2011
NEWEDGE USA, LLC
September 17, 2009 - March 2, 2011
CHAPDELAINE TULLETT PREBON, LLC
March 10, 2009 - September 15, 2009
RAFFERTY CAPITAL MARKETS, LLC
March 18, 2003 - June 6, 2007
LEHMAN BROTHERS INC.
July 21, 1998 - February 10, 2003
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
February 28, 1995 - August 28, 1998
PERSHING LLC
May 3, 1993 - February 13, 1995
J.P. MORGAN SECURITIES INC.
August 22, 1989 - May 4, 1993
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, 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
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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