Gerard T. Mccarthy
Professional summary
Gerard Thomas Mccarthy is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gerard Thomas Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 13, 2019 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036Office #2: 546 Fifth Avenue, New York, NY 10036January 8, 2019 - September 6, 2019
FINPOSTFIN LLC
January 4, 2019 - September 25, 2019
MAXIM FINANCIAL ADVISORS LLC
October 23, 2002 - September 6, 2019
MAXIM GROUP LLC
November 30, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, 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
(9/13/2019)
(9/13/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/30/2000
Limited Representative-Equity Trader ExamCboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Current Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 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 | 2 |
| Arbitration | 1 |
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