Francis A. 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.
Francis Ambrose Mccarthy, who also goes by Frank Ambrose Mccarthy, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2000. Francis had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
February 14, 2023 - February 16, 2024
GREEN VISTA CAPITAL, LLC
August 8, 2014 - September 8, 2021
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
September 21, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 21, 2004 - September 8, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
October 19, 2000 - August 20, 2004
TCF INVESTMENTS, 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
Current Firm
GREEN VISTA CAPITAL, LLC
CRD#: 293630 / SEC#: , 8-70101
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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