William H. 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.
William Henry Mccarty, who also goes by William Mccarty, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2008 - October 2, 2017
INDEPENDENCE CAPITAL CO., INC.
November 14, 2002 - November 1, 2005
USALLIANZ SECURITIES, INC.
January 1, 2002 - September 26, 2002
BROOKLIGHT PLACE SECURITIES, INC.
August 1, 2001 - January 1, 2002
IAC SECURITIES, INC.
February 1, 1995 - June 30, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 20, 1994 - January 11, 1995
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 1, 1992 - December 21, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 1, 1992 - December 21, 1994
EQUITABLE ADVISORS, 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
Exams
Current Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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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