Brian C. Mccarry
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.
Brian Colm Mccarry, who also goes by Brian Mccarry, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2014 - December 6, 2017
SII INVESTMENTS, INC.
February 14, 2012 - December 6, 2017
SII INVESTMENTS, INC.
January 24, 2007 - February 21, 2012
OSAIC WEALTH, INC.
September 20, 2004 - February 9, 2005
GREAT NORTHERN FINANCIAL SECURITIES, INC.
June 7, 2002 - December 19, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
August 6, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
August 6, 2001 - June 18, 2002
VALIC FINANCIAL ADVISORS, INC.
February 16, 2000 - May 4, 2001
OFFROAD SECURITIES, INC.
February 9, 1999 - January 27, 2000
TD AMERITRADE, INC.
July 10, 1998 - January 13, 1999
BA INVESTMENT SERVICES, INC.
October 31, 1995 - October 15, 1998
TD AMERITRADE, INC.
November 25, 1994 - March 28, 1995
INTERFIRST CAPITAL CORPORATION
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 8
Date: 1/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
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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