Terrence P. 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.
Terrence Patrick Mccarty, who also goes by Terry Mccarty, was a registered financial advisor .
Terrence is a previously registered financial advisor and started their career in finance in 1968. Terrence had worked at 6 firms and has passed the Series 65, Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 1999 - September 13, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 22, 1997 - October 23, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 30, 1993 - July 22, 1997
MARINER FINANCIAL SERVICES, INC.
February 22, 1983 - December 31, 1992
PFS INVESTMENTS INC.
January 29, 1981 - October 19, 1984
OSAIC FS, INC.
June 17, 1971 - April 20, 1981
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 26, 1968 - April 20, 1981
SIGNATOR INVESTORS, INC.
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: 8/14/1968
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
