Thomas F. 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.
Thomas Francis Mccarthy III, who also goes by Tom Mccarthy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 10 firms and has passed the Series 66, 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
September 11, 2018 - May 5, 2020
FIS BROKERAGE & SECURITIES SERVICES LLC
June 30, 2016 - November 3, 2017
LIQUIDNET, INC.
June 13, 2014 - May 11, 2016
COWEN AND COMPANY
June 13, 2014 - May 11, 2016
TD ARRANGED SERVICES LLC
June 20, 2005 - June 24, 2014
ALLIANCEBERNSTEIN L.P.
June 16, 2005 - June 24, 2014
SANFORD C. BERNSTEIN & CO., LLC
January 17, 2003 - May 25, 2005
BANC OF AMERICA SECURITIES LLC
January 17, 2003 - May 25, 2005
BANC OF AMERICA SECURITIES LLC
September 6, 2002 - January 27, 2003
VECTOR PARTNERS L.P.
July 1, 2002 - August 27, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
June 15, 2001 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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 55
Date: 9/14/2004
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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