James E. Mccarthy
Professional summary
James Edward Mccarthy is a registered financial advisor currently at THE CLARUS GROUP located in Houston, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. James has worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 31, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 16, 2020 - Present
THE CLARUS GROUP
Office #1: 520 Post Oak Blvd. Suite 750, Houston, TX 77027January 4, 2021 - December 1, 2021
KINGSWOOD CAPITAL PARTNERS, LLC
August 3, 2012 - October 2, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 19, 2012 - October 2, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 1994 - July 17, 2012
RAYMOND JAMES & ASSOCIATES, INC.
November 9, 1994 - July 17, 2012
RAYMOND JAMES & ASSOCIATES, INC.
August 25, 1993 - December 31, 1994
GROVE POINT INVESTMENTS, LLC
May 18, 1993 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
July 29, 1992 - May 3, 1993
J. EDMUND & CO.
March 15, 1991 - July 7, 1992
LEHMAN BROTHERS INC.
May 31, 1989 - February 22, 1991
GROVE POINT INVESTMENTS, LLC
January 25, 1988 - March 4, 1989
WINTHROP SECURITIES CO., INC.
January 6, 1987 - October 20, 1987
CENTEQ EQUITIES, INC.
July 27, 1982 - March 4, 1989
WINTHROP SECURITIES CO., INC.
June 25, 1979 - July 14, 1982
LEHMAN BROTHERS INC.
January 18, 1978 - June 25, 1979
LOEB PARTNERS
July 20, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
February 2, 1971 - July 22, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
THE CLARUS GROUP
CRD#: 310163 / SEC#: 801-119388
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/16/2020)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 10/12/1977
AMEX Put and Call ExamSeries 1
Date: 1/29/1971
Registered Representative ExaminationCurrent Firm
THE CLARUS GROUP
CRD#: 310163 / SEC#: 801-119388
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,807 |
| AUM (Assets Under Management) | $ 877,307,586 |
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.
