Edward P. Mccarthy
Professional summary
Edward Peter Mccarthy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Edward had worked at 9 firms, which includes NATIONAL SECURITIES CORPORATION, WEB STREET SECURITIES INC., HAPOALIM SECURITIES USA INC., OSAIC WEALTH INC., ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, PRUCO SECURITIES LLC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, MF GLOBAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2001 - March 24, 2001
NATIONAL SECURITIES CORPORATION
December 10, 1999 - September 15, 2000
WEB STREET SECURITIES, INC.
April 28, 1998 - September 29, 1998
HAPOALIM SECURITIES USA, INC.
November 3, 1995 - January 17, 1997
OSAIC WEALTH, INC.
August 18, 1994 - October 6, 1994
ROBERT W. BAIRD & CO. INCORPORATED
August 18, 1994 - October 6, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 11, 1993 - December 10, 1993
PRUCO SECURITIES, LLC.
September 28, 1990 - August 20, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 28, 1990 - August 20, 1993
PRUCO SECURITIES, LLC.
August 20, 1990 - September 17, 1990
MF GLOBAL 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 55
Date: 6/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
