Eileen M. 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.
Eileen Marie Mccarthy was a registered financial professional .
Eileen is a previously registered financial professional and started their career in finance in 1971. Eileen had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2013 - April 8, 2021
OSCAR GRUSS & SON INCORPORATED
June 20, 1991 - October 12, 2012
OSCAR GRUSS & SON INCORPORATED
April 2, 1991 - April 24, 1991
OSCAR GRUSS & SON INCORPORATED
November 28, 1990 - April 17, 1991
BALFOUR INVESTORS INC.
July 24, 1986 - September 28, 1990
ALEX. BROWN & SONS INCORPORATED
January 31, 1980 - December 10, 1983
UBS FINANCIAL SERVICES INC.
June 29, 1978 - July 22, 1986
CIBC WORLD MARKETS CORP.
May 31, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 28, 1975 - October 27, 1976
SOGEN-SWISS INTERNATIONAL CORPORATION
December 17, 1971 - May 10, 1975
WEEDEN & 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: 12/13/1971
Registered Representative ExaminationCurrent Firm
OSCAR GRUSS & SON INCORPORATED
CRD#: 2091 / SEC#: , 8-22371
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 5 |
| Judgment/Lien | 13 |
Red Flags
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