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CM

Christopher C. Mccarthy

COMPASS SECURITIES
Hingham, MA 02043
Some features on this profile are disabled
CRD#: 2987705
CM

Professional summary

Christopher Ciaran Mccarthy is a registered financial professional currently at COMPASS SECURITIES CORPORATION located in Hingham, Massachusetts.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Ciaran Mccarthy's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 24, 1998 - Present

COMPASS SECURITIES CORPORATION

Office #1: 3 Summer Street, Hingham, MA 02043
BD
CRD#: 16168
Hingham, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(4/15/1998)

Exams

State Security Law Exam
RR
Series 63
Date: 4/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
COMPASS SECURITIES CORPORATION
COMPASS SECURITIES CORPORATION

CRD#: 16168 / SEC#: , 8-33438

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
Mailing Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
Phone number
(781) 535-6083
Established
Massachusetts since 11/05/1984
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMPASS HOLDING GROUP INCSHAREHOLDER
CHAISSON, SCOTT STEPHENPRESIDENT/CEO2353375
SHANAHAN, TIMOTHY FRANCISDIRECTOR-CHIEF FINANCIAL OFFICER709231
WESCHLER, SUSAN MAUREENCHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER1796103

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COMPASS SECURITIES CORPORATION

CRD#: 16168Hingham, MA 02043

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