Vincent M. 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.
Vincent Michael Mccarthy was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 2002. Vincent had worked at 4 firms and has passed the Series 63, Series 56, Series 55 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 14, 2012 - May 30, 2013
WTS PROPRIETARY TRADING GROUP LLC
January 23, 2003 - June 27, 2003
ELECTRONIC TRADING GROUP, LLC
November 7, 2002 - December 3, 2002
DOMESTIC SECURITIES, INC.
March 7, 2002 - April 12, 2002
TRINIX SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 56
Date: 11/26/2012
Proprietary Trader Qualification ExaminationSeries 55
Date: 3/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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