Herbert J. Mccooey
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.
Herbert Joseph Mccooey, who also goes by Herbert Joseph Mccooey III, Herbert Joseph Mccooey, III, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 2000. Herbert had worked at 6 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2022 - August 28, 2025
CLEARLIST SECURITIES LLC
July 13, 2022 - June 27, 2023
GTS SECURITIES LLC
February 25, 2021 - July 13, 2022
CLEARLIST SECURITIES LLC
February 15, 2021 - August 29, 2022
CLEARLIST LLC
August 18, 2008 - July 31, 2017
RAFFERTY CAPITAL MARKETS, LLC
January 1, 2007 - August 12, 2008
APB FINANCIAL GROUP, LLC
December 18, 2000 - January 11, 2001
WSM HOLDINGS, L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 11/9/2010
Limited Representative-Equity Trader ExamCurrent Firm
CLEARLIST SECURITIES LLC
CRD#: 309455 / SEC#: , 8-70540
Contact information
FINRA licenses (48 States and Territories)
Red Flags
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