Daniel D. Mccarthy
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.
Daniel Desmond Mccarthy was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1956. Daniel had worked at 7 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 1999 - July 11, 2012
GLENWOOD SECURITIES, INC.
December 18, 1986 - March 22, 2018
FLI INVESTORS, LLC
May 30, 1980 - June 1, 1984
BLYTH EASTMAN PAINE WEBBER INCORPORATED
January 31, 1980 - February 13, 1985
UBS FINANCIAL SERVICES INC.
February 26, 1974 - April 16, 1980
BLYTH EASTMAN DILLON CAPITAL MARKETS, INC.
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 22, 1956 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
State Registrations and Notice Filings
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Current Firm
GLENWOOD SECURITIES, INC.
CRD#: 37066 / SEC#: , 8-47604
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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