Erin N. 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.
Erin Nicole Mccarthy, who also goes by Erin Mccarthy, was a registered financial professional .
Erin is a previously registered financial professional and started their career in finance in 2000. Erin had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - April 12, 2021
BTIG, LLC
December 8, 2008 - December 23, 2009
PALI CAPITAL, INC.
October 1, 2000 - November 14, 2001
SARROFF, ALAN LEWIS
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 7TO
Date: 3/25/2024
General Securities Representative ExaminationSeries 25
Date: 8/24/2001
NYSE Trading Assistant ExaminationCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
