James J. 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.
James Jay Mccarthy JR, who also goes by James J Mccarthy Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2017 - August 7, 2019
SEAPORT GLOBAL SECURITIES LLC
January 21, 2015 - July 26, 2017
COWEN EXECUTION SERVICES LLC
July 14, 2014 - January 28, 2015
MKM PARTNERS LLC
February 25, 2013 - May 23, 2014
JANNEY MONTGOMERY SCOTT LLC
September 22, 2005 - February 7, 2013
WEEDEN & CO.L.P.
March 27, 1995 - October 4, 2005
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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