Michael J. Mccarthy
Professional summary
Michael John Mccarthy is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 10 firms and has passed the Series 63, SIE, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael John Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2024 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
February 10, 2015 - October 2, 2023
MUFG SECURITIES AMERICAS INC.
August 19, 2009 - April 15, 2014
RBC CAPITAL MARKETS, LLC
June 22, 2009 - August 18, 2009
COHEN & COMPANY SECURITIES, LLC
January 26, 2009 - May 15, 2009
BANC OF AMERICA SECURITIES LLC
June 14, 2000 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 1995 - May 1, 2000
ABN AMRO INCORPORATED
October 26, 1992 - October 14, 1993
SALOMON BROTHERS INC.
October 16, 1990 - March 27, 1991
IDS LIFE INSURANCE COMPANY
October 16, 1990 - March 27, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2024)
Exams
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
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