James M. Mccarty
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.
James Michael Mccarty, who also goes by Jim Mccarty, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 17 firms and has passed the Series 65, Series 63, Series 31, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2002 - December 6, 2002
QUICK & REILLY, INC.
March 14, 2001 - January 24, 2002
MORGAN STANLEY DW INC.
August 10, 2000 - September 26, 2000
CUNA BROKERAGE SERVICES, INC.
May 24, 1999 - September 8, 1999
LPL FINANCIAL LLC
May 29, 1997 - December 31, 1997
LPL FINANCIAL LLC
July 15, 1991 - May 9, 1997
WORLD INVEST CORPORATION
April 9, 1990 - July 5, 1991
FERRIS, BAKER WATTS, LLC
October 14, 1988 - December 16, 1989
CAREY JAMISON & COMPANY
October 7, 1987 - December 12, 1988
MANULIFE WOOD LOGAN, INC.
April 20, 1987 - October 4, 1989
METLIFE INVESTORS DISTRIBUTION COMPANY
August 22, 1986 - April 7, 1987
MARQUETTE FINANCIAL GROUP, INC.
December 8, 1983 - September 30, 1986
INTEGRATED RESOURCES MARKETING, INC.
January 30, 1981 - September 17, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
July 6, 1978 - July 30, 1979
EDWARD JONES
August 8, 1977 - June 26, 1978
AMERICAN WESTERN SECURITIES, INC.
January 31, 1975 - May 28, 1977
E. F. HUTTON & COMPANY INC
March 29, 1974 - January 13, 1975
RAUSCHER PIERCE REFSNES, INC.
October 4, 1973 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
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: 10/2/1973
Registered Representative ExaminationCurrent Firm
QUICK & REILLY, INC.
CRD#: 11217 / SEC#: , 8-17986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUICK & REILLY/FLEET SECURITIES, INC. | 100% SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | EXECUTIVE VICE PRESIDENT | 1079745 |
| CONWAY, JOSEPH FRANCIS | SROP | 1299116 |
| DORFMAN, BETH ELYSE | GENERAL COUNSEL & SECRETARY | 1299764 |
| GOLDMEER, MICHELE | SENIOR COUNSEL & ASSISTANT SECRETARY | 4273410 |
| GREGOR, STANLEY ANTHONY | PRESIDENT /CEO | 1672974 |
| LOUKAS, RONALD STANSBURY | MUNICIPAL PRINCIPAL | 1054716 |
| MATTIA, GERARD | CHIEF OPERATING OFFICER | 4728053 |
| MOYNIHAN, BRIAN | BOARD MEMBER | 4553207 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER | 1821188 |
| SCHRODER, ALAN ARTHUR SR. | DIRECTOR | 801763 |
| TEMPLE, CYNTHIA JO | CHIEF OPERATIONS OFFICER | 2444506 |
| WINTHER, TORBEN OLELERCHE | CHIEF COMPLIANCE OFFICER | 1821483 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 2 |
| Arbitration | 10 |
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.
