Terence M. Mccarty
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.
Terence Michael Mccarty, who also goes by Terrence Michael Mccarty, Terry Mccarty, was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 1992. Terence had worked at 9 firms and has passed the Series 63, Series 7 and Series 62 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, 2010 - November 1, 2013
B. RILEY WEALTH MANAGEMENT
November 6, 2001 - November 16, 2010
NEWEDGE USA, LLC
May 2, 2001 - November 6, 2001
WELLS FARGO INVESTMENTS, LLC
December 18, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
September 26, 2000 - November 15, 2000
MJK CLEARING, INC.
September 18, 2000 - November 10, 2000
R.W. SMITH & ASSOCIATES, LLC
July 12, 2000 - September 15, 2000
CANTOR FITZGERALD & CO.
November 10, 1993 - September 14, 2000
CANTOR FITZGERALD SECURITIES
February 6, 1992 - September 15, 2000
MINT BROKERS
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 62
Date: 2/5/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
