Conor J. 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.
Conor John Mccarthy, who also goes by Conor Mccarthy, was a registered financial professional .
Conor is a previously registered financial professional and started their career in finance in 1997. Conor had worked at 12 firms and has passed the SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2014 - September 2, 2014
CONVERGEX PRIME SERVICES LLC
June 20, 2014 - December 1, 2014
LIQUIDPOINT, LLC
June 20, 2014 - April 1, 2015
G-TRADE SERVICES LLC
June 20, 2014 - August 26, 2015
WESTMINSTER RESEARCH ASSOCIATES LLC
June 20, 2014 - August 26, 2015
COWEN EXECUTION SERVICES LLC
March 10, 2011 - July 15, 2014
FMX EXECUTION, LLC
July 11, 2005 - July 15, 2014
GFI SECURITIES LLC
June 7, 1999 - January 12, 2000
INTERCAPITAL SECURITIES, INC.
April 29, 1997 - January 12, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
April 18, 1997 - July 13, 1998
EXCO RMJ INTERNATIONAL INC.
April 18, 1997 - November 3, 1999
INTERCAPITAL ASIA INC.
April 18, 1997 - January 11, 2000
INTERCAPITAL INTERNATIONAL 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
Current Firm
CONVERGEX PRIME SERVICES LLC
CRD#: 140185 / SEC#: , 8-67289
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONVERGEX GROUP, LLC | SOLE MEMBER | |
| DEJARNETTE, MICHAEL LEE | PRESIDENT AND MANAGER | 2903155 |
| DEJARNETTE, NICHOLAS TODD | MD, OFFICER | 4223616 |
| MCCARTHY, CONOR JOHN | EXECUTIVE MANAGING DIRECTOR AND CFO | 2866668 |
| NELSON, DOUGLAS MARC | CHIEF EXECUTIVE OFFICER AND MANAGER | 1979906 |
| NOLL, ERIC WILSON | MANAGER-NON EMPLOYEE | 2050994 |
| RAPPOLD, CHARLES EDWARD II | NON-EMPLOYEE MANAGER | 1095326 |
| WOODHAM, PATRICIA BARRETT | FINOP, CCO | 2520369 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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