Harold C. Mccarley
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.
Harold Curtis Mccarley JR was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1971. Harold had worked at 4 firms and has passed the Series 63, Series 000, Series 1, Series 27, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 1985 - August 9, 1993
MCCARLEY AND ASSOCIATES, INC.
October 23, 1979 - February 8, 1985
JOHNSON, LANE, SPACE, SMITH & CO., INC.
August 1, 1979 - December 1, 1979
WACHOVIA SECURITIES, INC.
October 20, 1971 - August 1, 1979
MCCARLEY & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 000
Date: 10/11/1971
General Securities Principal ExaminationSeries 1
Date: 10/11/1971
Registered Representative ExaminationSeries 12
Date: 4/11/1981
NYSE Branch Manager ExaminationSeries 40
Date: 8/23/1978
Registered Principal ExaminationCurrent Firm
MCCARLEY AND ASSOCIATES, INC.
CRD#: 16128 / SEC#: , 8-33331
Contact information
Documents
Red Flags
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