Bruce 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.
Bruce Edward Mccarthy was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1991. Bruce had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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
December 9, 2019 - January 2, 2025
ERNST & YOUNG CAPITAL ADVISORS, LLC
January 9, 2019 - January 28, 2020
CORPORATE FUEL SECURITIES LLC
February 17, 2017 - January 3, 2018
OPPENHEIMER & CO. INC.
January 14, 2008 - December 14, 2016
OPPENHEIMER & CO. INC.
March 22, 1999 - January 14, 2008
CIBC WORLD MARKETS CORP.
November 28, 1997 - July 17, 1998
SALOMON BROTHERS INC.
June 19, 1991 - July 17, 1998
CITIGROUP GLOBAL MARKETS 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
