David J. Mccarthy
Professional summary
David James Mccarthy, who also goes by Dave Mccarthy, David J Mccarthy, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in San Francisco, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1989. David has worked at 5 firms and has passed the Series 63, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David James Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2025 - Present
CASTLEOAK SECURITIES, LP
Office #1: 50 California Street Suite 1566, San Francisco, CA 94111September 22, 2008 - October 25, 2024
BARCLAYS CAPITAL INC.
November 21, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
November 21, 1989 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 21, 1989 - September 22, 2008
LEHMAN BROTHERS 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
(5/13/2025)
(5/13/2025)
(5/13/2025)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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