Dennis 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.
Dennis Jay Mccarthy was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1991. Dennis had worked at 9 firms and has passed the Series 65, 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
November 15, 2013 - January 2, 2018
G.DISTRIBUTORS, LLC
April 30, 2012 - September 7, 2012
FORESIDE FUND SERVICES, LLC
March 17, 2010 - April 2, 2012
CETERA INVESTMENT ADVISERS LLC
November 16, 2009 - April 2, 2012
CETERA FINANCIAL SPECIALISTS LLC
May 2, 2007 - December 21, 2007
CAI INSTITUTIONAL SERVICES, LLC
November 10, 1999 - July 17, 2006
TCW FUNDS DISTRIBUTORS LLC
April 1, 1998 - May 11, 1999
FOUNDERS ASSET MANAGEMENT LLC
July 25, 1996 - April 1, 1998
FOUNDERS ASSET MANAGEMENT, INC.
November 29, 1991 - November 6, 1995
INVESCO DISTRIBUTORS, 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
Current Firm
G.DISTRIBUTORS, LLC
CRD#: 155071 / SEC#: , 8-68697
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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