John C. 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.
John Charles Mccarty was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 50, SIE, Series 55, Series 7, Series 54, Series 4, Series 8, Series 27, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2018 - April 27, 2020
NORTH BRIDGE CAPITAL, LLC
October 31, 2016 - December 31, 2018
CHARLES RIVER BROKERAGE, LLC
December 22, 2009 - November 8, 2022
MALLORY CAPITAL GROUP, LLC
November 11, 2005 - April 17, 2007
US ARMA PARTNERS LP
March 21, 2003 - October 30, 2007
TURNINGBLOCK CAPITAL LLC
February 21, 2003 - July 31, 2003
DRU STOCK, INC.
October 18, 2002 - January 2, 2003
DIRECT ACCESS PARTNERS LLC
March 26, 2001 - December 20, 2002
WORLDCO, L.L.C.
December 4, 1998 - March 19, 2002
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
February 12, 1997 - May 20, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
April 8, 1996 - February 18, 1997
HAPOALIM SECURITIES USA, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/26/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 3/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NORTH BRIDGE CAPITAL, LLC
CRD#: 107320 / SEC#: , 8-53031
Contact information
Documents
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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