Patrick R. 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.
Patrick Richard Mccarthy, who also goes by Patrick Richard Mccarthy Jr, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1993. Patrick had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2016 - August 15, 2016
HEDGEBAY SECURITIES LLC
April 22, 2014 - April 27, 2015
CLARK DODGE & CO., INC.
November 9, 2012 - July 5, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 14, 2010 - August 12, 2011
CITADEL SECURITIES LLC
October 12, 2001 - September 29, 2009
UBS SECURITIES LLC
May 24, 2000 - October 5, 2001
U.S. BANCORP INVESTMENTS, INC.
January 16, 1996 - May 2, 2000
CRT CAPITAL GROUP LLC
February 17, 1993 - December 20, 1995
E.A. MOOS & CO. L.P.
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
HEDGEBAY SECURITIES LLC
CRD#: 121136 / SEC#: , 8-65385
Contact information
FINRA licenses (22 States and Territories)
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.
