James O. Mcgovern
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 Ohara Mcgovern, who also goes by Mac Mcgovern, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 15 firms and has passed the Series 63, SIE, Series 000 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
September 28, 2000 - January 4, 2016
CARTY, HARDING & HEARN, INC.
January 1, 1999 - July 19, 1999
NBC CAPITAL MARKETS GROUP, INC.
October 29, 1990 - January 14, 1997
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
February 8, 1990 - November 2, 1990
RAYMOND JAMES & ASSOCIATES, INC.
July 27, 1989 - January 27, 1990
MORGAN STANLEY DW INC.
March 16, 1982 - April 6, 1989
MORGAN KEEGAN & COMPANY, LLC
October 31, 1979 - December 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1978 - November 22, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
February 1, 1977 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
September 1, 1976 - February 27, 1977
MARCUS, STOWELL & BEYE, INC.
May 1, 1975 - September 25, 1976
F. L. LAWRENCE & COMPANY, INC.
July 9, 1973 - March 6, 1974
YOUND SMITH & PEACOCK INC
February 28, 1973 - July 28, 1973
A. G. EDWARDS & SONS, INC.
October 13, 1971 - February 23, 1973
SELLERS INVESTMENT COMPANY, 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 000
Date: 5/1/1972
General Securities Principal ExaminationSeries 1
Date: 3/12/1971
Registered Representative ExaminationCurrent Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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.
