Brendan Mccarthy
Professional summary
Brendan Mccarthy, who also goes by Brendan E Mc Carthy, Brendan Eugene Mc Carthy, Brendan Eugene Mccarthy, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in New York, New York.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 1992. Brendan has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brendan Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 29, 2024 - Present
DEUTSCHE BANK SECURITIES INC.
Office #1: 1 Columbus Circle, New York, NY 10019September 4, 2013 - September 10, 2022
J.P. MORGAN SECURITIES LLC
August 3, 2001 - April 6, 2004
CITIGROUP GLOBAL MARKETS INC.
December 8, 1997 - April 4, 2000
ABN AMRO SECURITIES LLC
August 5, 1997 - October 8, 1997
TWENTY-FIRST SECURITIES CORPORATION
September 15, 1993 - February 22, 1995
CITIGROUP GLOBAL MARKETS INC.
June 24, 1992 - October 25, 1996
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/29/2024)
(3/5/2024)
Exams
FINRA
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
Red Flags
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