Gerard Thomas Mccarthy
Professional Summary
Gerard Thomas Mccarthy is a registered financial advisor currently at SAFRA SECURITIES LLC located in New York, New York. Gerard is registered as a RR (Registered Representative) and started their career in finance in 1999. Gerard has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 4, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
SAFRA SECURITIES CORPORATION | SAFRA SECURITIES LLC
Contact Information
Main Address
546 Fifth Ave, New York, NY 10036Mailing Address
546 Fifth Ave, New York, NY 10036Phone Number
(212) 704-5500Established
Delaware since 12/31/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (45 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | — |
| BONFIM, CARLOS CESAR BERTACO | BOARD MEMBER | — |
| COLOMBO, RAFAELO | DEPUTY CEO & BOARD MEMBER | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | PRESIDENT, CEO & BOARD MEMBER | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | BOARD MEMBER | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
Regulatory Event
2Arbitration
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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.
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State Registrations and Notice Filings
(9/13/2019)
(9/13/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2001About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gerard Thomas Mccarthy's CRS (Customer Relationship Summary).
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