Cary N. May
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.
Cary Neil May, who also goes by Cary N May, was a registered financial professional .
Cary is a previously registered financial professional and started their career in finance in 1971. Cary had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2006 - June 20, 2007
W.A. CAPITAL MARKETS
April 16, 1987 - February 8, 2005
W.A. CAPITAL MARKETS
February 23, 1979 - January 12, 1987
MABON, NUGENT & CO.
March 30, 1977 - July 17, 1978
STERN, LAUER & CO.
July 8, 1975 - January 2, 1977
STUART BROTHERS
December 19, 1973 - May 29, 1975
WESTMINSTER SECURITIES CORPORATION
October 21, 1971 - November 23, 1972
OPPENHEIMER & CO. INC.
August 19, 1971 - November 12, 1971
AXELROD & CO.
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
Series 1
Date: 8/12/1971
Registered Representative ExaminationCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
