Richard M. Mccarthy
Professional summary
Richard Michael Mccarthy JR is a registered financial professional currently at KEYSTONE CAPITAL MARKETS located in Irvine, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Mccarthy JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 30, 2017 - Present
KEYSTONE CAPITAL MARKETS
Office #1: 20 Pacifica Suite 450, Irvine, CA 92612February 1, 2016 - August 30, 2017
COINBASE CAPITAL MARKETS CORP
June 15, 2011 - February 11, 2016
FMV CAPITAL MARKETS, LLC
January 22, 2001 - November 22, 2002
CITIGROUP GENEVA CAPITAL STRATEGIES 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
(9/12/2017)
(4/10/2023)
Exams
FINRA
Current Firm
KEYSTONE CAPITAL MARKETS
CRD#: 288767 / SEC#: , 8-69959
Contact information
FINRA licenses (11 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACK DOG ADVISORS LLC | OWNER | |
| CAPE ADVISORY GROUP LLC | OWNER | |
| CHIMNEY ROCK ADVISORS LLC | OWNER | |
| CRIMSON CAPITAL LLC | OWNER | |
| DJL CAPITAL, LLC | OWNER | |
| KRAUTHAMER FAMILY TRUST | OWNER | |
| KRAUTHAMER, RANDY GREGG | TRUSTEE OF KRAUTHAMER FAMILY TRUST | |
| SELBY CAPITAL ADVISORS LLC | OWNER | |
| STAFFORD PARTNERS, LLC | OWNER | |
| TRIANGLE CAPITAL LLC | OWNER | |
| KRAUTHAMER, RANDY GREGG | MANAGING PARTNER | 2203908 |
| LUVISA, DAVID JAMES | CCO, MANAGING DIRECTOR | 1643896 |
| SIPOSS, ALLAN ANTHONY | MANAGING PARTNER | 4298385 |
| SMITH, EDWARD MERRILL | FINOP | 3143679 |
Red Flags
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