Joseph F. 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.
Joseph Francis Mccarthy JR, who also goes by Joseph F Mccarthy Jr, Joseph Francis Mccarthy, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1972. Joseph had worked at 11 firms and has passed the Series 63, SIE 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
July 30, 2014 - March 30, 2015
CASTLEOAK SECURITIES, LP
August 15, 2002 - August 14, 2013
LOOP CAPITAL MARKETS LLC
November 9, 2000 - August 15, 2002
GMS GROUP
January 20, 1999 - November 6, 2000
TUCKER ANTHONY INCORPORATED
September 16, 1996 - January 13, 1999
A. F. BEST SECURITIES, INC.
April 12, 1991 - August 7, 1996
SBC WARBURG DILLON READ INC.
October 17, 1984 - March 15, 1991
KIDDER, PEABODY & CO. INCORPORATED
November 28, 1983 - October 11, 1984
BECKER PARIBAS INCORPORATED
August 5, 1981 - November 22, 1983
PERSHING LLC
August 30, 1976 - July 15, 1981
W. H. MORTON & CO.
January 21, 1972 - February 5, 1974
W H MORTON & CO INCORPORATED
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: 1/20/1972
Registered Representative ExaminationCurrent Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
