Desi D. Mcginty
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.
Desi Dean Mcginty, who also goes by Desi Dean Curtis, Desi Dean Throne, was a registered financial professional .
Desi is a previously registered financial professional and started their career in finance in 1999. Desi had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2013 - February 24, 2015
RAYMOND JAMES & ASSOCIATES, INC.
September 24, 2012 - February 24, 2015
RAYMOND JAMES & ASSOCIATES, INC.
March 30, 2010 - January 20, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 2, 2010 - January 20, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 13, 2009 - April 22, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 21, 2008 - April 22, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 8, 2008 - April 22, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 8, 2007 - November 21, 2007
UBS FINANCIAL SERVICES INC.
April 27, 2007 - November 21, 2007
UBS FINANCIAL SERVICES INC.
January 16, 2007 - March 3, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
January 4, 2007 - March 3, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
March 14, 2006 - December 7, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 23, 2006 - December 7, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 1, 2003 - February 9, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - February 9, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 1, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 4, 2000 - June 19, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 18, 2000 - April 19, 2000
FSC SECURITIES CORPORATION
October 26, 1999 - February 11, 2000
WMA SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
