John L. 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.
John Lawler Mccarthy, who also goes by John L Mccarthy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2016 - December 13, 2018
QUESTAR ASSET MANAGEMENT, INC.
September 28, 2016 - December 13, 2018
QUESTAR CAPITAL CORPORATION
November 23, 2015 - September 29, 2016
FOUNDATIONS INVESTMENT ADVISORS LLC
August 25, 2015 - November 24, 2015
INTEGRITY ALLIANCE, LLC.
August 25, 2015 - November 24, 2015
INTEGRITY ALLIANCE, LLC.
November 8, 2012 - August 28, 2015
QUESTAR ASSET MANAGEMENT, INC.
November 8, 2012 - August 28, 2015
QUESTAR CAPITAL CORPORATION
August 29, 2011 - November 21, 2012
OSAIC FS, INC.
August 29, 2011 - November 21, 2012
OSAIC FS, INC.
May 11, 2009 - August 2, 2011
MML INVESTORS SERVICES, LLC
May 5, 2009 - August 2, 2011
MML INVESTORS SERVICES, LLC
April 20, 2000 - May 6, 2009
EQUITABLE ADVISORS, LLC
January 8, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 8, 1998 - May 6, 2009
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
Red Flags
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